CBAK Energy Technology (CBAT) Form 3 CBAK Energy Technology / Xiangyu Pei ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Pei Xiangyu

(Last) (First) (Middle)

BAK INDUSTRIAL PARK, MEIGUI STREET

HUAYUANKOU ECONOMIC ZONE

(Street)

DALIAN F4 116450

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/23/2019

3. Issuer Name and Ticker or Trading Symbol
CBAK Energy Technology, Inc. [ CBAT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
INTERIM CFO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	57,983(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Share Units	(2)	(2)	Common Stock	180,000	(2)	D

Explanation of Responses:

1. Including 50,000 restricted shares granted under the Company's 2015 Equity Incentive Plan, which shares vest semi-annually in six equity installments over a three year period with the first vesting on December 31, 2016.

2. Each Restricted Share Unit ("RSU"), granted under the Company's 2015 Equity Incentive Plan, represents a contingent right to receive one share of common stock. The RSUs vest semi-annually in six equal installments over a three year period with the first vesting on September 30, 2019.

	/s/ Xiangyu Pei	08/29/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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