X0306 4 2016-04-19 0001117171 CHINA BAK BATTERY INC CBAK 0001531104 Xue J. Simon BAK INDUSTRIAL PARK, MEIGUI STREET HUAYUANKOU ECONOMIC ZONE DALIAN F4 116422 CHINA 1 0 0 0 Common Stock 2016-04-19 4 A 0 30000 0 A 30000 D Grant of restricted shares under China BAK Battery, Inc. 2015 Equity Incentive Plan. The restricted shares vest over a three year period in 6 equal semi-annual installments with the first vesting on December 31, 2016. Simon Xue 2016-04-21