Amended Statement of Beneficial Ownership (sc 13d/a)
June 09 2020 - 12:12PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO § 240.13d-2(a)
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
|
CBAK
ENERGY TECHNOLOGY, INC. |
| (Name
of Issuer) |
COMMON STOCK, PAR VALUE $0.001
(Title of Class of Securities)
|
14986C
102 |
| (CUSIP
Number) |
|
Yunfei
Li |
| BAK
Industrial Park, Meigui Street, Huayuankou Economic
Zone, |
| Dalian,
China 116450 |
|
86-411-39185985 |
| (Name,
Address and Telephone Number of Person |
| Authorized
to Receive Notices and Communications) |
| |
|
June 3, 2020
|
| (Date
of Event which Requires Filing Statement on Schedule
13D) |
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule
13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f)
or 13d-1(g), check the following box ☐.
Note: Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all exhibits.
See Rule 13d-7 for other parties to whom copies are to be sent.
* 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 disclosures provided in a
prior cover page.
The information required on 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).
CUSIP NO: 14986C
102
|
1. |
NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Yunfei Li
|
|
2. |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a)
☐ |
|
|
|
(b)
☐
|
|
3. |
SEC USE ONLY
|
|
4. |
SOURCE OF FUNDS
PF
|
|
5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f)
|
☐
|
|
6. |
CITIZENSHIP OR PLACE OF ORGANIZATION
People’s Republic of China
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7. |
SOLE
VOTING POWER
|
10,726,705 |
|
8. |
SHARED
VOTING POWER
|
0 |
|
9. |
SOLE
DISPOSITIVE POWER
|
10,726,705 |
|
10. |
SHARED
DISPOSITIVE POWER
|
0 |
|
11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,726,705 shares of common stock
|
|
12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
☐
|
|
13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
17.03%(1)
|
|
14. |
TYPE OF REPORTING PERSON
IN
|
(1) Based on 62,978,784 shares of common stock issued and
outstanding as of the date hereof.
This Amendment No. 4 to Schedule 13D (this “Amendment No. 4”)
relates to the common stock, par value $0.001 per share (the
“Common Stock”) of CBAK Energy Technology, Inc. (the
“Company”).
This Amendment No. 4 is being filed by Yunfei Li (the “Reporting
Person”) to amend and supplement the Reporting Person’s Amendment
No. 3 to Schedule 13D previously filed with the Securities and
Exchange Commission (the “SEC”) on September 13, 2019 (the
“Schedule 13D”). Except as provided herein, this Amendment No. 4
does not modify any of the information previously reported on the
Schedule 13D. Capitalized terms used but not defined herein have
the meanings assigned to them in the Schedule 13D.
Item 3. Source and Amount of Funds or Other
Consideration.
Item 3 of Schedule 13D is supplemented by adding the following at
the end thereof:
On June 3, 2020, pursuant to certain Cancellation Agreement between
the Reporting Person and the Company, the Reporting Person acquired
2,062,619 shares of common stock of the Company by cancelling a
loan of approximately $0.99 million that the Company owed to the
Reporting Person, at the exchange price of $0.48 per share. Upon
receipt of the shares, the Reporting Person released the Company
from any claims, demands and other obligations relating to the
loan.
Item 5. Interest in Securities of the Issuer.
Item 5 is hereby amended and restated in its entirety as
follows:
(a) – (b) As of the date of this
statement, the Reporting Person beneficially owns 10,726,705 shares
of Common Stock, representing approximately 17.03% of the
outstanding Common Stock of the Company. The Reporting
Person has sole voting and
dispositive power over the shares of common stock of which he
beneficially owns.
(c) Other than the transactions described Item 3 above, the
Reporting Person has not been involved in any transactions
involving Common Stock of the Company in the last 60 days.
(d) None.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships
with Respect to Securities of the Issuer.
To the best knowledge of the Reporting Person, except as provided
herein and in the Schedule 13D, there are no other contracts,
arrangements, understandings or relationships (legal or otherwise)
between the Reporting Person and any other person with respect to
any securities of the Company, joint ventures, loan or option
arrangements, puts or calls, guarantees of profits, divisions of
profits or loss, or the giving or withholding of proxies, or a
pledge or contingency, the occurrence of which would give another
person voting power over the securities of the Company.
Item 7. Material to be Filed as Exhibits.
Item 7 of Schedule 13D is hereby amended and supplemented by adding
the following at the end thereof:
SIGNATURES
After reasonable inquiry and to the best of his and its knowledge
and belief, the undersigned certify that the information set forth
in this statement is true, complete and correct.
Dated: June 9, 2020
4
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