SEC Form 4 · accession 0001062993-15-003582
CBAK Energy Technology, Inc. · CBAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xiangqian Li
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jun 23, 2015
Accepted (ET)
Jun 25, 2015 · 7:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001117171
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 23, 2015 | S | 5,164 | $3.5411 | D | 3,796,393 | D | |
| Common StockF2 | Jun 24, 2015 | S | 32,700 | $3.3726 | D | 3,763,693 | D | |
| Common StockF3 | Jun 25, 2015 | S | 2,836 | $3.3245 | D | 3,760,857 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.45 to $3.60 inclusive. The reporting person undertakes to provide to China BAK Battery, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.30 to $3.50, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.30 to $3.36, inclusive.