CBAK Energy Technology, Inc.

Regulatory Filings • Dec 28, 2022

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

FORM 8-K/A

(Amendment No. 1)

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of Earliest Event Reported): December 23, 2022

CBAK ENERGY TECHNOLOGY, INC.

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(Exact name of registrant as specified in its charter)

Nevada	001-32898	86-0442833
(State or other jurisdiction of incorporation)	(Commission File No.)	(IRS Employer Identification No.)

BAK Industrial Park , Meigui Street

Huayuankou Economic Zone

Dalian , China , 116450

(Address, including zip code, of principal executive offices)

(86)(411) - 3918-5985

(Registrant’s telephone number, including area code)

(Former name or former address, if changed since last report)

Securities registered or to be registered pursuant to Section 12(b) of the Act:

| Title
of each class | Trading
Symbol(s) | Name
of each exchange on which registered |
| --- | --- | --- |
| Common Stock, $0.001 par value | CBAT | Nasdaq Capital Market |

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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EXPLANATORY NOTE

On December 23, 2022, CBAK Energy Technology, Inc. (the “Company”) filed with the Securities and Exchange Commission a Current Report on Form 8-K (the “Original Report”) to report the voting results of the proposals submitted to the stockholders at the 2022 annual meeting of stockholders of the Company (the “Annual Meeting”) held on December 23, 2022. This Amendment No.1 to the Original Report on Form 8-K/A (the “Form 8-K/A”) is being filed to correct the number of shares voted with respect to the proposals as noted below. The corrections are immaterial and do not impact the outcome of the vote on any of the proposals. This Form 8-K/A amends and restates thee disclosure provided under Item 5.07 of the Original Report in its entirety.

ITEM 5.07. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.

Holders of the Company’s common stock at the close of business on October 25, 2022 (the “Record Date”) were entitled to vote at the Annual Meeting. As of the Record Date , there were 88,990,858 outstanding shares of common stock entitled to vote. A total of 40,978,112 shares of common stock (46.05%), constituting a quorum, were represented in person or by valid proxies at the Annual Meeting.

The stockholders voted on two proposals at the Annual Meeting. The proposals are described in detail in the Company’s definitive proxy statement dated October 28, 2022 and the relevant portions of which are incorporated herein by reference. The final results for the votes regarding each proposal are set forth below.

Proposal 1: The Company’s stockholders elected five directors to the Board of Directors of the Company to serve until the 2023 annual meeting of stockholders. The votes regarding this proposal were as follows:

Yunfei Li	26,996,038	339,464	165,791	13,476,819
J. Simon Xue	26,890,800	501,777	108,715	13,476,820
Martha C. Agee	26,729,232	644,993	127,067	13,476,820
Jianjun He	26,712,874	678,754	109,663	13,476,821
Xiangyu Pei	26,733,745	639,895	127,652	13,476,820

Proposal 2: The Company’s stockholders ratified the appointment of Centurion ZD CPA & Co. as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2022. The votes regarding this proposal were as follows:

Votes For	Votes Against	Abstentions
40,076,307	656,693	245,112

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SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

| /s/ Xiangyu
Pei |
| --- |
| Xiangyu Pei |
| Interim Chief Financial Officer |

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