0001013762-23-003191.txt : 20231011 0001013762-23-003191.hdr.sgml : 20231011 20231011163002 ACCESSION NUMBER: 0001013762-23-003191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230411 FILED AS OF DATE: 20231011 DATE AS OF CHANGE: 20231011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pei Xiangyu CENTRAL INDEX KEY: 0001786555 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32898 FILM NUMBER: 231320963 MAIL ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116450 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CBAK Energy Technology, Inc. CENTRAL INDEX KEY: 0001117171 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 880442833 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116422 BUSINESS PHONE: (86)(411)6251-0619 MAIL ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116422 FORMER COMPANY: FORMER CONFORMED NAME: CHINA BAK BATTERY INC DATE OF NAME CHANGE: 20050214 FORMER COMPANY: FORMER CONFORMED NAME: MEDINA COFFEE INC DATE OF NAME CHANGE: 20000626 4 1 ownership.xml X0508 4 2023-04-11 0 0001117171 CBAK Energy Technology, Inc. CBAT 0001786555 Pei Xiangyu BAK INDUSTRIAL PARK, MEIGUI STREET HUAYUANKOU ECONOMIC ZONE DALIAN F4 116450 CHINA 1 0 0 0 0 Restricted Share Units 2023-04-11 4 A 0 50000 0 A Common Stock 50000 50000 D Stock Option (right to buy) 0.9503 2023-04-11 4 A 0 100000 0 A 2029-02-11 Common Stock 100000 100000 D On April 11, 2023, pursuant to the CBAK Energy Technology, Inc. 2015 Equity Incentive Plan, the company granted 50,000 restricted share units (the "RSUs") to the Reporting Person. Each RSU represents a contingent right to receive one share of common stock. The RSUs vest in two equal installments on June 30 and December 31, 2023, respectively. On April 11, 2023, pursuant to the CBAK Energy Technology, Inc. 2015 Equity Incentive Plan, the company granted the Reporting Person an option to purchase 100,000 shares of common stock. The option will vest in four equal installments semi-annually with the first installment vesting on June 30, 2024. /s/ Xiangyu Pei 2023-10-11