Amended Statement of Ownership (sc 13g/a)
February 16 2021 - 11:00AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
Under the Securities Exchange Act of
1934
(Amendment No 2)*
CBAK ENERGY TECHNOLOGY, INC.
(Name of Issuer)
COMMON
STOCK, PAR VALUE $0.001
(Title of Class of Securities)
14986C
102
(CUSIP Number)
December
31, 2020
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
* 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
Asia EVK New Energy Auto Limited
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Hong Kong
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5.
|
SOLE VOTING POWER
0
|
|
6.
|
SHARED VOTING POWER
9,702,615
|
|
7.
|
SOLE DISPOSITIVE POWER
0
|
|
8.
|
SHARED DISPOSITIVE POWER
9,702,615
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,702,615
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
14.60%*
|
12.
|
TYPE OF REPORTING PERSON (see instructions)
CO
|
|
*
|
Based on 66,467,285 shares of common stock of the Company
outstanding as of November 13, 2020, as reported in the Company’s Form 10-Q filed with the Securities and Exchange Commission
("SEC") on November 16, 2020.
|
CUSIP No. 14986C 102
1.
|
NAMES OF REPORTING PERSONS
Mu Li
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
China
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5.
|
SOLE VOTING POWER
0
|
|
6.
|
SHARED VOTING POWER
9,702,615
|
|
7.
|
SOLE DISPOSITIVE POWER
0
|
|
8.
|
SHARED DISPOSITIVE POWER
9,702,615
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,702,615
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
14.60%*
|
12.
|
TYPE OF REPORTING PERSON (see instructions)
IN
|
|
*
|
Based on 66,467,285 shares of common stock of the Company
outstanding as of November 13, 2020, as reported in the Company’s Form 10-Q filed with the Securities and Exchange Commission
("SEC") on November 16, 2020.
|
CUSIP No. 14986C 102
1.
|
NAMES OF REPORTING PERSONS
Wei Qi
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
China
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5.
|
SOLE VOTING POWER
0
|
|
6.
|
SHARED VOTING POWER
9,702,615
|
|
7.
|
SOLE DISPOSITIVE POWER
0
|
|
8.
|
SHARED DISPOSITIVE POWER
9,702,615
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,702,615
|
10.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
14.60%
|
12.
|
TYPE OF REPORTING PERSON (see instructions)
IN
|
|
*
|
Based on 66,467,285 shares of common stock of the Company
outstanding as of November 13, 2020, as reported in the Company’s Form 10-Q filed with the Securities and Exchange Commission
("SEC") on November 16, 2020.
|
CUSIP No. 14986C 102
Item 1.
|
(a)
|
Name of Issuer
CBAK Energy Technology, Inc.
|
|
|
|
|
(b)
|
Address of Issuer’s Principal Executive Offices
BAK Industrial Park, Meigui Street, Huayuankou Economic Zone, Dalian, China 116450
|
|
|
|
Item 2.
|
(a)
|
Name of Person Filing
This Schedule 13G is being jointly filed by each of the following
persons pursuant to Rule 13d-1(k) promulgated by the Securities and Exchange Commission pursuant to Section 13 of the Act:
(i) Asia EVK New Energy Auto Limited (“Asia EVK”), a Hong Kong limited company
with respect to the shares of the Issuer’s Common Stock directly owned by Asia EVK;
(ii) Mu Li, as the sole director and 50% owner of Asia EVK,
with respect to the shares of the Issuer’s Common Stock directly owned by Asia EVK; and
(ii) Wei Qi, as the 50% owner of Asia EVK, with respect to the
shares of the Issuer’s Common Stock directly owned by Asia EVK.
The foregoing persons are hereinafter sometimes collectively
referred to as the “Reporting Persons.” The Reporting Persons have entered into a Joint Filing Agreement dated
May 29, 2019, a copy of which is incorporated by reference into this Schedule 13G/A.
|
|
|
|
|
(b)
|
Address of the Principal Office or, if none, residence
(i) As to Asia EVK, Flat/RM B, 8/F Wing On Cheong Building,
5 Wing Lok Street, Central, Hong Kong.
(ii) As to Mu Li, A-3003, Pengdudasha, Nanguang Road, Nanshan
District, Shenzhen, China, 518054.
(iii) As to Wei Qi, 3-B 1005,
Huayuan, Tianjian Xiandaicheng, Longgang District, Shenzhen, China, 518000.
|
|
|
|
|
(c)
|
Citizenship
(i) Asia EVK is a Hong Kong limited company.
(ii) Mu Li is a citizen of China.
(iii) Wei Qi is a citizen of China.
|
|
|
|
|
|
Title of Class of Securities
Common Stock, $0.001 par value per share.
|
|
|
|
|
(e)
|
CUSIP Number
14986C 102
|
CUSIP No. 14986C 102
Item 3. If this statement is filed pursuant to
§§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
(a)
|
☐
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
|
|
|
|
|
|
(b)
|
☐
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
|
|
|
|
|
|
(c)
|
☐
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
|
|
|
|
(d)
|
☐
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
|
|
|
|
|
|
(e)
|
☐
|
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
(f)
|
☐
|
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
(g)
|
☐
|
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
(h)
|
☐
|
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
(i)
|
☐
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
(j)
|
☐
|
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution:__________________
|
Item 4. Ownership.
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
|
(a)
|
Amount
beneficially owned:
|
In the aggregate, the Reporting
Persons beneficially own 9,702,615 shares of Common Stock, which are directly owned by Asia EVK. Mu Li is the sole director and
owns 50% of Asia EVK. Wei Qi owns the remaining 50% of Asia EVK. As a result of these relationships, each of Mu Li and Wei Qi may
be deemed to be an indirect beneficial owner of the shares of Common Stock held directly by Asia EVK. Each of Mu Li and Wei Qi
disclaims beneficial ownership in such shares, except to the extent of their pecuniary interest therein.
The 9,702,615 shares of
common stock represent approximately 14.60% of the Issuer’s outstanding Common Stock.
|
(c)
|
Number of shares as to which the person has:
|
|
(i)
|
Sole power to vote or to direct the vote:
|
|
(i) Asia EVK
|
0
|
|
(ii) Mu Li
|
0
|
|
(iii) Wei Qi
|
0
|
CUSIP No. 14986C 102
|
(ii)
|
Shared power to vote or to direct the vote:
|
|
(i) Asia EVK
|
9,702,615
|
|
(ii) Mu Li
|
9,702,615
|
|
(iii) Wei Qi
|
9,702,615
|
|
(iii)
|
Sole power to dispose or to direct the disposition of:
|
|
(i) Asia EVK
|
0
|
|
(ii) Mu Li
|
0
|
|
(iii) Wei Qi
|
0
|
|
(iv)
|
Shared power to dispose or to direct the disposition of:
|
|
(i) Asia EVK
|
9,702,615
|
|
(ii) Mu Li
|
9,702,615
|
|
(iii) Wei Qi
|
9,702,615
|
Item 5. Ownership of Five Percent or Less of a
Class.
If this statement is being filed to report the fact that as
of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities,
check the following ☐.
Item 6. Ownership of More than Five Percent on
Behalf of Another Person.
Other than as set forth herein, no other person has the right
to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, in excess of 5% of the total
outstanding Common Stock.
Item 7. Identification and Classification of the
Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members
of the Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
Each of the Reporting Persons hereby makes the following certification:
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURES
After reasonable inquiry
and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 16, 2021
|
Asia EVK New Energy Auto Limited
|
|
|
|
|
By:
|
/s/ Mu Li
|
|
|
Mu Li
|
|
|
Director
|
|
/s/ Mu Li
|
|
Mu Li, individually
|
|
|
|
/s/ Wei Qi
|
|
Wei Qi
|
Exhibit A
Exhibit Index
Exhibit
9
CBAK Energy Technology (NASDAQ:CBAT)
Historical Stock Chart
From Mar 2024 to Apr 2024
CBAK Energy Technology (NASDAQ:CBAT)
Historical Stock Chart
From Apr 2023 to Apr 2024