Ownership Submission
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB Number:3235-0104Expires:January 31, 2005Estimated average burden hours per response...0.5
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1. Name and Address of Reporting Person *
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HU Zhiguang
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2. Date of Event Requiring Statement (Month/Day/Year)
2024-10-24
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3. Issuer Name and Ticker or Trading Symbol
CBAK Energy Technology, Inc. [CBAT]
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(Last)
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(First)
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(Middle)
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BAK INDUSTRIAL PARK, MEIGUI STREET , HUAYUANKOU ECONOMIC ZONE
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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CEO /
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5. If Amendment, Date Original Filed(Month/Day/Year)
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(Street)
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DALIAN
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F4
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116450
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6. Individual or Join/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
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2. Amount of Securities Beneficially Owned
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3. Ownership Form: Direct (D) or Indirect (I)
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4. Nature of Indirect Beneficial Ownership
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
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2. Date Exercisable and Expiration Date
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3. Title and Amount of Securities Underlying Derivative Security
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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6. Nature of Indirect Beneficial Ownership
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HU Zhiguang
BAK INDUSTRIAL PARK, MEIGUI STREET
HUAYUANKOU ECONOMIC ZONE
DALIAN, F4116450
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CEO
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Signatures
/s/ Zhiguang Hu
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2024-10-31
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**Signature of Reporting Person
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Date
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Explanation of Responses:
(*)
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**)
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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Representing an option to purchase 30,000 shares of common stock granted under the Company's 2015 Equity Incentive Plan on April 11, 2023, which vest in four equal installments on June 30 and December 31 of 2024 and 2025, respectively. Such options will expire 70 months from the grant date.
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