Form D · Manufacturing
CBAK Energy Technology, Inc.
Dalian, Liaoning, F4 · CIK 0001117171
Offering snapshot reported Feb 16, 2021 · SEC filing
- Reported sold
- $38.4M Offering amount: $38.4M
- Investors reported
- 4 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 8, 2021 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Feb 16, 2021 | Initial | $38,398,987 | No comparison | 4 | SEC filing |
| Nov 26, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Sep 22, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $4.2M
- Finders' fees
- $0
- Form D file number
- 021-389596
Represents proceeds to be received by the Issuer if the issued warrants (Series A-1 warrants to purchase up to 4,469,988 shares and placement agent warrant to purchase up to 446,999 shares) are exercised for cash.
Represents 6% of the gross proceeds from the concurrent registered direct offering of $70.0 million. Issuer also issued placement agent warrants (as described in Item 13) to purchase up to 446,999 shares, exercisable at a price of $9.204 per share.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| FT Global Capital, Inc. | 141294 |
Source: Form D, filed Feb 16, 2021. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Martha Agee | Director |
| Jianjun He | Director |
| Yunfei Li | Director, Executive |
| Xiangyu Pei | Executive |
| Guosheng Wang | Director |
| J. Simon Xue | Director |
Issuer details
Industry: Manufacturing (See others in industry)
Address:
Cbak Industrial Park, Meigui Street Huayuankou Economic Zone
Dalian, Liaoning, F4, 116450
Dalian, Liaoning, F4, 116450