CBAK Energy Technology, Inc.

Quarterly Report • Sep 6, 2011

10-Q/A 1 form10qa.htm FORM 10-Q/A China BAK Battery, Inc.: Form 10-Q - Filed by newsfilecorp.com

UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
FORM
10 -Q/A
Amendment No. 1
(Mark One)
[X] QUARTERLY REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended: June 30,
2011
[ ] TRANSITION REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from
__to _____

Commission File Number: 001-32898

CHINA BAK BATTERY, INC. (Exact name of registrant as specified in its charter)

Nevada	88-0442833
(State or other jurisdiction of	(I.R.S. Employer Identification No.)
incorporation or organization)

BAK Industrial Park No. 1 BAK Street Kuichong Town, Longgang District Shenzhen 518119 People’s Republic of China (Address of principal executive offices, Zip Code) (86-755) 8977-0093 (Registrant’s telephone number, including area code)

____________ (Former name, former address and former fiscal year, if changed since last report)

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.

Yes [ X ] No [ ]

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).

Yes [ X ] No [ ]

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer [ ]	Accelerated filer [ X ]
Non-accelerated filer [
] (Do not check if a smaller reporting company)	Smaller reporting company
[ ]

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

Yes [ ] No [ X ]

The number of shares outstanding of each of the issuer’s classes of common stock, as of August 8, 2011 is as follows:

Class of Securities	Shares Outstanding
Common Stock, $0.001 par value	63,816,276

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EXPLANATORY NOTE

The sole purpose of this Amendment to China BAK Battery, Inc.’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2011, originally filed with the Securities and Exchange Commission on August 9, 2011 (the “Form 10-Q”), is to furnish Exhibit 101 to the Form 10-Q, which contains the XBRL (eXtensible Business Reporting Language) Interactive Data File for the financial statements and notes included in Part I, Item 1 of the Form 10-Q. As permitted by Rule 405(a)(2)(ii) of Regulation S-T, Exhibit 101 was required to be furnished by amendment within 30 days of the original filing date of the Form 10-Q. No other changes have been made to the Form 10-Q, and this Amendment has not been updated to reflect events occurring subsequent to the filing of the Form 10-Q.

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ITEM 6. EXHIBITS.

The following exhibits are filed or furnished as part of this report or incorporated by reference:

Exhibit No.	Description
31.1*	Certifications of Principal Executive Officer filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*	Certifications of Principal Financial Officer filed pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1*	Certifications of Principal Executive Officer
furnished pursuant to 18 U.S.C. Section 1350, as adopted pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002.
32.2*	Certifications of Principal
Financial Officer furnished pursuant to 18 U.S.C. Section 1350, as adopted
pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
99.1*	Comprehensive Credit Facility Agreement of
Maximum Amount (English summary), dated May 3, 2011, between Shenzhen BAK
Battery Co., Ltd. and Shenzhen Longgang Branch, Bank of China
99.2*	Guaranty Contract of Maximum
Amount (English summary), dated May 3, 2011, between BAK International
Limited and Shenzhen Longgang Branch, Bank of China
99.3*	Guaranty Contract of Maximum Amount (English
summary), dated May 3, 2011, between Xiangqian Li and Shenzhen Longgang
Branch, Bank of China
99.4*	Comprehensive Credit Facility
Agreement of Maximum Amount (English summary), dated May 6, 2011, between
Shenzhen BAK Battery Co., Ltd. and Shenzhen Branch, China CITIC Bank
99.5*	Loan Agreement (English summary), dated June 3,
2011, between Shenzhen BAK Battery Co., Ltd. and Shenzhen Branch, China
CITIC Bank
99.6*	Guaranty Contract of Maximum
Amount (English summary), dated May 6, 2011, between Xiangqian Li and
Shenzhen Branch, China CITIC Bank
99.7*	Guaranty Contract of Maximum Amount (English
summary), dated May 6, 2011, between BAK International Limited and
Shenzhen Branch, China CITIC Bank
99.8*	Loan Agreement (English
summary), dated April 13, 2011, between Shenzhen BAK Battery Co., Ltd. and
Shenzhen Eastern Branch, Agricultural Bank of China
99.9*	Loan Agreement (English summary), dated April
14, 2011, between Shenzhen BAK Battery Co., Ltd. and Shenzhen Eastern
Branch, Agricultural Bank of China
99.10*	Loan Agreement (English
summary), dated April 18, 2011, between Shenzhen BAK Battery Co., Ltd. and
Shenzhen Eastern Branch, Agricultural Bank of China
99.11*	Loan Agreement (English summary), dated June
13, 2011, between Shenzhen BAK Battery Co., Ltd. and Longgang Branch,
Shenzhen Development Bank Co., Ltd.
99.12*	Mortgage Contract of Maximum
Amount (English summary), dated June 13, 2011, between Shenzhen BAK
Battery Co., Ltd. and Longgang Branch, Shenzhen Development Bank Co., Ltd.
99.13*	Loan Certificate, dated June 13, 2011, between
Shenzhen BAK Battery Co., Ltd. and China Development Bank
99.14*	Supplemental Agreement dated June 13, 2011,
between Shenzhen BAK Battery Co., Ltd. and China Development Bank
101**	Interactive Data Files

• Previously filed or furnished with China BAK Battery, Inc.'s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2011.

** Furnished herewith

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SIGNATURES

In accordance with Section 13 or 15(d) of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: September 6, 2011

CHINA BAK BATTERY, INC.

By: /s/Xiangqian Li Xiangqian Li, Chief Executive Officer (Principal Executive Officer)

By: /s/ Ke Marcus Cui Ke Marcus Cui, Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer)