Sec Form 13D Filing - Li Xiangqian filing for CBAK Energy Technology Inc. (CBAT) - 2016-03-14

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

SCHEDULE 13D/A
(Amendment No. 3)*

CHINA BAK BATTERY, INC.
(Name of Issuer)

COMMON STOCK, PAR VALUE $0.001 PER SHARE
(Title of Class of Securities)

16936Y 209
 (CUSIP Number)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [  ].

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

* 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: 16936Y 209

(1) Based on 17,145,493 shares of common stock outstanding as of February 12, 2016, as reported in the Company’s Quarterly Report on Form 10-Q filed with the SEC on February 16, 2016

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This Amendment No. 3 to Schedule 13D ("Amendment No. 3") relates to the common stock, par value $0.001 per share (the "Common Stock"), of China BAK Battery, Inc., a Nevada corporation (the "Company").

This Amendment No. 3 is being filed by Xiangqian Li (the "Reporting Person") to amend and supplement the Reporting Person’s Schedule 13D previously filed with the Securities and Exchange Commission (the "SEC") on January 25, 2005, as amended on January 15, 2009 and June 25, 2015 (as amended and supplemented to date, the "Schedule 13D"). Except as provided herein, this Amendment No. 3 does not modify any of the information previously reported on the Schedule 13D. Capitalized terms used but not defined herein have the meanings assigned to them in the Schedule 13D.

Item 2. Identity and Background.

Item 2 of Schedule 13D is hereby amended and restated in its entirety as follows:

(a) The person filing this statement is Xiangqian Li (“Li” or the “Reporting Person”).

(b)-(c) The residence of Li is Room 21D, Yi Jing Pavilion, Golf Seascape Garden, Fu Tian District, Shenzhen, Guangdong Province, China. The Reporting Person is an individual investor.

(d)-(e) During the last five years, the Reporting Person has not been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

(f) The Reporting Person is a citizen of the People’s Republic of China.

Item 3. Source and Amount of Funds or Other Consideration.

Item 3 of Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:

On March 4, 2016, the Reporting Person entered into a stock purchase agreement with Yunfei Li, pursuant to which the Reporting Person sold 3,000,000 shares of Common Stock in a private transaction to Yunfei Li for $7.2 million at a price of $2.40 per share.

Item 5. Interest in Securities of the Issuer.

Item 5 of Schedule 13D is hereby amended and restated as follows:

(a) – (b) As of the date of this Amendment No. 3, the Reporting Person beneficially owns 760,557 shares of the Common Stock, representing 4.43% of the outstanding shares of the Company (based on 17,145,493 shares of Common Stock outstanding as of February 12, 2016, as reported in the Company’s Quarterly Report on Form 10-Q filed with the SEC on February 16, 2016). For purposes of Rule 13d-3 promulgated under the Exchange Act, the Reporting Person has sole voting and dispositive power over 760,557 shares of Common Stock.

(c) Other than the transactions described in Item 3 above, the Reporting Person has not been involved in any transactions involving Common Stock of the Company in the last 60 days.

(d) None.

(e) As a result of the transaction described in Item 3 above, on March 4, 2016, the Reporting Person ceased to be the beneficial ownership of more than five present of Common Stock of the Company.

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Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

Item 3 of Schedule 13D is hereby amended and supplemented by adding the following at the beginning thereof:

The contents of Items 3 above are incorporated herein by reference.

Item 7. Material to be Filed as Exhibits.

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SIGNATURES

After reasonable inquiry and to the best of his and its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated: March 14, 2016

/s/ Xiangqian Li
Xiangqian Li

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