Current Report Filing (8-k)
2013年3月6日 - 7:00AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES
EXCHANGE ACT OF 1934
Date of Report (Date of Earliest Event Reported):
February 27, 2013
CHINA BAK BATTERY, INC.
(Exact
name of registrant as specified in its charter)
Nevada |
001-32898 |
86-0442833 |
(State or other jurisdiction |
(Commission File No.) |
(IRS Employer |
of incorporation) |
|
Identification No.)
|
BAK Industrial Park, No. 1 BAK Street
Kuichong
Town, Longgang District
Shenzhen, 518119
Peoples Republic
of China
(Address, including zip code, of principal executive
offices)
(86-755) 6188-6818, ext 6856
(Registrants
telephone number, including area code)
Not applicable
(Former name or former address, if
changed since last report)
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))
Item 3.01. Notice of Delisting or Failure to Satisfy a
Continued Listing Rule or Standard; Transfer of Listing.
On February 27, 2013, Charlene Spoede Budd (Ms. Budd)
notified China BAK Battery, Inc. (the Company) of her decision to resign as a
member of the Board of Directors of the Company and as a member of the Boards
Audit, Compensation and Nominating and Corporate Governance Committees,
effective immediately. Ms. Budds decision to resign is due to her personal
reasons. The Company intends to elect a new independent director to fill the
vacancies created by Ms. Budds resignation as soon as practicable.
As a result of the resignation of Ms. Budd, the Company is not
currently in compliance with Listing Rules 5605(b)(1) and 5605(c)(2)(A) of the
NASDAQ Stock Market LLC. NASDAQ Listing Rules 5605(b)(1) and 5605(c)(2)(A)
require, among other things, that a majority of the Board of Directors be
comprised of independent directors as defined in Rule 5605(a)(2) and the
Companys Audit Committee be comprised of at least three members. Currently the
Companys Board of Directors consists of two independent directors and two
non-independent directors and the Audit Committee is comprised of two
members.
The Company notified NASDAQ of its noncompliance with the
NASDAQ listing rules described above on March 4, 2013. In accordance with NASDAQ
Listing Rules 5605 (b)(1)(A) and 5605(c)(4)(B), the Company has a cure period in
order to regain compliance until the earlier of the Companys next annual
shareholders meeting or February 27, 2014. If the Companys next annual
shareholders meeting is held no later than 180 days following the resignation
of Ms. Budd, then the Company will instead have 180 days from such event to
regain compliance.
Item 5.02. Departure of Directors or Certain Officers;
Election of Directors; Appointment of Certain Officers; Compensatory
Arrangements of Certain Officers.
The pertinent information contained in Item 3.01 of this Form
8-K above is incorporated herein by reference.
2
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.
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CHINA BAK BATTERY, INC. |
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Date: March 5, 2013 |
By: |
/s/ Xiangqian
Li
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Xiangqian Li |
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Chief Executive Officer |
3
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