-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CeuLegpxeFCf+rciIQHMkymZI5CntLV9Az+z4pKeQwko+kZGDV857mBAnENP4ilO PWtbtcRwjrAOmITesHP3Og== 0001393825-10-000010.txt : 20100216 0001393825-10-000010.hdr.sgml : 20100215 20100216150818 ACCESSION NUMBER: 0001393825-10-000010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED BATTERY TECHNOLOGIES, INC. CENTRAL INDEX KEY: 0000745651 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 222497491 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-36707 FILM NUMBER: 10606833 BUSINESS ADDRESS: STREET 1: 15 WEST 39TH STREET STREET 2: SUITE 14A CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-391-2752 MAIL ADDRESS: STREET 1: 15 WEST 39TH STREET STREET 2: SUITE 14A CITY: NEW YORK STATE: NY ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: BUY IT CHEAP COM INC /DE DATE OF NAME CHANGE: 20000119 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST USA CORP /NEW DATE OF NAME CHANGE: 19990929 FORMER COMPANY: FORMER CONFORMED NAME: CELCOR INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Hudson Bay Capital Management, L.P. CENTRAL INDEX KEY: 0001393825 IRS NUMBER: 371511173 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 120 BROADWAY, 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: 212-571-1244 MAIL ADDRESS: STREET 1: 120 BROADWAY, 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10271 SC 13G/A 1 abat_sc13ga.txt ADVANCED BATTERY TECHNOLOGIES, INC 13G/A 1 abat_sc13ga.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Advanced Battery Technologies, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 00752H102 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 9 Pages CUSIP No. 00752H102 13G/A Page 2 of 9 Pages - -------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Hudson Bay Fund, LP - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ----------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 82,174 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 285,883 shares of Common Stock OWNED BY ----------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ----------------------------------------------------------------- PERSON WITH: (8) SHARED DISPOSITIVE POWER 82,174 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 285,883 shares of Common Stock - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 82,174 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 285,883 shares of Common Stock - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.55% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP No. 00752H102 13G/A Page 3 of 9 Pages - -------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Hudson Bay Overseas Fund, Ltd. - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - -------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ----------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 146,083 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 561,177 shares of Common Stock OWNED BY ----------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ----------------------------------------------------------------- PERSON WITH: (8) SHARED DISPOSITIVE POWER 146,083 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 561,177 shares of Common Stock - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 146,083 shares of Common Stock 1 Share of Series E 0% Preferred Stock convertible into 250 250 shares of Common Stock 2008 warrants to purchase 561,177 shares of Common Stock - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.05% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- CUSIP No. 00752H102 13G/A Page 4 of 9 Pages - -------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Hudson Bay Capital Management, L.P. - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ----------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock OWNED BY ----------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ----------------------------------------------------------------- PERSON WITH: (8) SHARED DISPOSITIVE POWER 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.58% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP No. 00752H102 13G/A Page 5 of 11 Pages - -------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Sander Gerber - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ----------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock OWNED BY ----------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ----------------------------------------------------------------- PERSON WITH: (8) SHARED DISPOSITIVE POWER 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 228,257 shares of Common Stock 2 Share of Series E 0% Preferred Stock convertible into 500 shares of Common Stock 2008 warrants to purchase 847,060 shares of Common Stock - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.58% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- CUSIP No. 00752H102 13G/A Page 6 of 9 Pages - -------------------------------------------------------------------------------- Item 1. This Amendment No. 1 (this "Amendmemt") amends the statement on Schedule 13G (the "Original Schedule 13G")Filed on May 22, 2009 with repect to the common shares, par value .0005 per share (the "Common Share") of: Name of Issuer Advanced Battery Technologies, Inc,a Delaware corporation (the "Company") Address of Issuer's Principal Executive Offices 15 West 39th Street, Suite 14A New York, NY 10018 Capitalized terms uswed herein and not otherwise defined in this Amendment have the meanings set forth in Schedule 13G. This Amendment amends and restates Items 4 and 5 intheir entirety as set forth below. Item 2(a). Name of Person Filing This statement is filed by the entities and persons listed below, who are collectively referred to herein as "Reporting Persons," with respect to the Common Shares beneficially owned by the Reporting Person. FUNDS (i) Hudson Bay Fund, LP, with respect to the Common Stock beneficially owned by it. (ii) Hudson Bay Overseas Fund, Ltd. with respect to the Common Stock beneficially owned by it. INVESTMENT MANAGER (iii) Hudson Bay Capital Management, L.P., (the "Investment Manager"), with respect to the Common Stock beneficially owned by Hudson Bay Fund, LP and Hudson Bay Overseas Fund, Ltd. (together, the "Hudson Bay Funds") and to which the Investment Manager serves as investment manager. REPORTING INDIVIDUAL (iv) Mr. Sander Gerber ("Mr. Gerber"), with respect to the Common Stock held by each of the Hudson Bay Funds. The Investment Manager serves as the investment manager to each of the Hudson Bay Funds. Mr. Gerber is an executive officer of the Investment Manager. CUSIP No. 00752H102 13G/A Page 7 of 9 Pages Item 2(b). Address of Principal Business Office or, if none, Residence The address of the principal business office of Hudson Bay Overseas Fund, Ltd. is: Walkers SPV Limited, Walker House PO Box 908GT, Mary Street Georgetown, Grand Cayman Cayman Islands The address of the principal business office of each of the other Reporting Persons is: 120 Broadway, 40th Floor New York, NY 10271 Item 2(c). Citizenship Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. Item 2(d) Title of Class of Securities Common Stock, par value $0.001 per share (the "Common Shares") Item 2(e) CUSIP Number 00752H102 Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). CUSIP No. 00752H102 13G/A Page 8 of 9 Pages - -------------------------------------------------------------------------------- Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The Company's quarterly report report for the quartely period ending September 30,2009, filed on form 10Q on November 9, 2009 indicates that the total number of outstanding Common Stock is 66,904,092. The percentages set forth on Row ll of the cover pages assumes the exercise of the reported warrants and the conversion of the reported shares of preferred stock. The Investment Manager, which serves as the investment manager to the Hudson Bay Funds, may be deemed to be the beneficial owner of all Common Shares owned by the Hudson Bay Funds. Mr. Gerber, as executive officer of the Investment Manager, with the power to exercise investment discretion, may be deemed to be the beneficial owner of all Common shares owned by the Hudson Bay Funds. Each of the Investment Manager and the Reporting Individual hereby disclaims any beneficial ownership of any such Common Shares, except for their pecuniary interest therein. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 00752H102 13G/A Page 9 of 9 Pages - -------------------------------------------------------------------------------- SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct. Dated: FEbruary 16, 2010 HUDSON BAY FUND, L.P. HUDSON BAY OVERSEAS FUND, LTD. By: Hudson Bay Capital Management, L.P. By: Hudson Bay Capital Management, L.P. Investment Manager Investment Manager By: /s/ SANDER GERBER By: /s/ SANDER GERBER Name: Sander Gerber Name: Sander Gerber Title: Authorized Signatory Title: Authorized Signatory HUDSON BAY CAPITAL MANAGEMENT, L.P. /s/ Sander Gerber SANDER GERBER By: /s/ SANDER GERBER Name: Sander Gerber Title: Authorized Signatory -----END PRIVACY-ENHANCED MESSAGE-----