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CBAK Energy Technology, Inc. – ‘10-Q’ for 3/31/14 – ‘EX-99.9’

On:  Tuesday, 5/20/14, at 4:52pm ET   ·   For:  3/31/14   ·   Accession #:  1062993-14-3226   ·   File #:  1-32898

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/20/14  CBAK Energy Technology, Inc.      10-Q        3/31/14  117:10M                                    Newsfile Corp/FA

Quarterly Report   —   Form 10-Q   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report -- form10q                         HTML    713K 
 4: EX-99.1     Miscellaneous Exhibit -- exhibit99-1                HTML     32K 
13: EX-99.10    Miscellaneous Exhibit -- exhibit99-10               HTML     35K 
14: EX-99.11    Miscellaneous Exhibit -- exhibit99-11               HTML     35K 
15: EX-99.12    Miscellaneous Exhibit -- exhibit99-12               HTML     32K 
16: EX-99.13    Miscellaneous Exhibit -- exhibit99-13               HTML     32K 
 5: EX-99.2     Miscellaneous Exhibit -- exhibit99-2                HTML     32K 
 6: EX-99.3     Miscellaneous Exhibit -- exhibit99-3                HTML     35K 
 7: EX-99.4     Miscellaneous Exhibit -- exhibit99-4                HTML     35K 
 8: EX-99.5     Miscellaneous Exhibit -- exhibit99-5                HTML     35K 
 9: EX-99.6     Miscellaneous Exhibit -- exhibit99-6                HTML     35K 
10: EX-99.7     Miscellaneous Exhibit -- exhibit99-7                HTML     35K 
11: EX-99.8     Miscellaneous Exhibit -- exhibit99-8                HTML     35K 
12: EX-99.9     Miscellaneous Exhibit -- exhibit99-9                HTML     35K 
 2: EX-31.1     Certification -- §302 - SOA'02 -- exhibit31-1       HTML     35K 
 3: EX-32.1     Certification -- §906 - SOA'02 -- exhibit32-1       HTML     31K 
81: R1          Document and Entity Information                     HTML     57K 
67: R2          Condensed Consolidated Balance Sheets               HTML    130K 
78: R3          Condensed Consolidated Balance Sheets               HTML     40K 
                (Parenthetical)                                                  
85: R4          Condensed Consolidated Statements of Comprehensive  HTML    119K 
                Loss                                                             
106: R5          Condensed Consolidated Statements of Shareholders'  HTML     53K  
                Equity                                                           
69: R6          Condensed Consolidated Statements of Cash Flows     HTML    141K 
77: R7          Principal Activities, Basis of Presentation and     HTML     78K 
                Organization                                                     
61: R8          Pledged Deposits                                    HTML     34K 
51: R9          Trade Accounts Receivable, net                      HTML     41K 
108: R10         Inventories                                         HTML     36K  
87: R11         Prepayments and Other Receivables                   HTML     47K 
86: R12         Property, Plant and Equipment, net                  HTML     63K 
93: R13         Prepaid Land Use Rights, net                        HTML     36K 
94: R14         Intangible Assets, net                              HTML     36K 
91: R15         Short-term Loans                                    HTML     40K 
95: R16         Other short-term loans, Accrued Expenses and Other  HTML     61K 
                Payables                                                         
79: R17         Deferred Revenue                                    HTML     32K 
82: R18         Other Long-term Payables                            HTML     39K 
89: R19         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     69K 
                Liabilities                                                      
117: R20         Share-based Compensation                            HTML     64K  
102: R21         Net Loss per Share                                  HTML     40K  
73: R22         Fair Value of Financial Instruments                 HTML     37K 
88: R23         Commitments and Contingencies                       HTML     67K 
75: R24         Significant Concentrations                          HTML     50K 
42: R25         Segment Information                                 HTML     92K 
103: R26         Subsequent Events                                   HTML     32K  
112: R27         Pledged Deposits (Tables)                           HTML     35K  
56: R28         Trade Accounts Receivable, net (Tables)             HTML     41K 
55: R29         Inventories (Tables)                                HTML     34K 
59: R30         Prepayments and Other Receivables (Tables)          HTML     47K 
60: R31         Property, Plant and Equipment, net (Tables)         HTML     62K 
62: R32         Prepaid Land Use Rights, net (Tables)               HTML     35K 
31: R33         Intangible Assets, net (Tables)                     HTML     35K 
100: R34         Short-term Loans (Tables)                           HTML     37K  
71: R35         Other short-term loans, Accrued Expenses and Other  HTML     47K 
                Payables (Tables)                                                
74: R36         Other Long-term Payables (Tables)                   HTML     38K 
46: R37         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     65K 
                Liabilities (Tables)                                             
116: R38         Share-based Compensation (Tables)                   HTML     59K  
23: R39         Net Loss per Share (Tables)                         HTML     37K 
64: R40         Commitments and Contingencies (Tables)              HTML     52K 
105: R41         Significant Concentrations (Tables)                 HTML     47K  
44: R42         Segment Information (Tables)                        HTML     95K 
54: R43         Principal Activities, Basis of Presentation and     HTML    195K 
                Organization (Narrative) (Details)                               
58: R44         Inventories (Narrative) (Details)                   HTML     36K 
68: R45         Prepayments and Other Receivables (Narrative)       HTML     38K 
                (Details)                                                        
30: R46         Property, Plant and Equipment, net (Narrative)      HTML     47K 
                (Details)                                                        
50: R47         Prepaid Land Use Rights, net (Narrative) (Details)  HTML     36K 
25: R48         Intangible Assets, net (Narrative) (Details)        HTML     36K 
104: R49         Short-term Loans (Narrative) (Details)              HTML     46K  
43: R50         Other short-term loans, Accrued Expenses and Other  HTML    112K 
                Payables (Narrative) (Details)                                   
101: R51         Deferred Revenue (Narrative) (Details)              HTML     34K  
47: R52         Other Long-term Payables (Narrative) (Details)      HTML     30K 
65: R53         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     51K 
                Liabilities (Narrative) (Details)                                
24: R54         Share-based Compensation (Narrative) (Details)      HTML     88K 
28: R55         Net Loss per Share (Narrative) (Details)            HTML     39K 
57: R56         Commitments and Contingencies (Narrative)           HTML     87K 
                (Details)                                                        
35: R57         Significant Concentrations (Narrative) (Details)    HTML     38K 
109: R58         Subsequent Events (Narrative) (Details)             HTML     34K  
70: R59         Schedule of Pledged Deposits (Details)              HTML     40K 
92: R60         Schedule of Trade Accounts Receivable (Details)     HTML     48K 
49: R61         Schedule of Analysis of the Allowance for Doubtful  HTML     43K 
                Accounts (Details)                                               
52: R62         Schedule of Inventories (Details)                   HTML     44K 
99: R63         Schedule of Prepayments and Other Receivables       HTML     82K 
                (Details)                                                        
96: R64         Schedule of Analysis of Allowance for Doubtufl      HTML     39K 
                Accounts for Other Receivables (Details)                         
72: R65         Schedule of Property, Plant and Equipment           HTML     65K 
                (Details)                                                        
98: R66         Schedule of Depreciation Expense (Details)          HTML     68K 
48: R67         Schedule of Investment Property in Operating        HTML     35K 
                Leases (Details)                                                 
76: R68         Schedule of Minimum Future Rental Payments for      HTML     43K 
                Operating Leases (Details)                                       
111: R69         Schedule of Prepaid Land Use Rights (Details)       HTML     48K  
27: R70         Sdchedule of Intangible Assets (Details)            HTML     40K 
41: R71         Schedule of Facilities Secured by the Company's     HTML     59K 
                Assets (Details)                                                 
66: R72         Schedule of Other short-term loan (Details)         HTML     61K 
33: R73         Schedule of Accrued Expenses and Other Payables     HTML     66K 
                (Details)                                                        
115: R74         Schedule of Government Subsidiaries (Details)       HTML     61K  
45: R75         Schedule of Income Taxes (Details)                  HTML     52K 
36: R76         Schedule of Income Tax Reconciliation (Details)     HTML    102K 
40: R77         Schedule of Deferred Tax Assets and Liabilities     HTML     79K 
                (Details)                                                        
29: R78         Schedule of Stock Option, Activity (Details)        HTML     62K 
32: R79         SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     66K 
                March 31, 2014 (Details)                                         
83: R80         SCHEDULE OF VALUATION OF OPTIONS GRANTED ON June    HTML     37K 
                22, 2009 (Details)                                               
38: R81         SCHEDULE OF VALUATION OF OPTIONS GRANTED ON April   HTML     37K 
                8, 2010 (Details)                                                
110: R82         Schedule of Earnings Per Share, Basic and Diluted   HTML     53K  
                (Details)                                                        
63: R83         Schedule of Capital Commitments (Details)           HTML     44K 
90: R84         Schedule Ofguarantees (Details)                     HTML     70K 
97: R85         Schedule of Discounted Bank Acceptance Bills        HTML     32K 
                (Details)                                                        
37: R86         Schedule of Customer Accounted for More Than 10%    HTML     43K 
                of the Company's Total Trade Accounts Receivable                 
                (Details)                                                        
39: R87         Schedule of Revenue by Major Customers by           HTML     56K 
                Reporting Segments (Details)                                     
107: R88         Schedule of Net Revenues From Manufacture of        HTML     80K  
                Batteries by Products (Details)                                  
34: R89         Schedule of Net Revenues From Manufacture of        HTML     81K 
                Batteries by Geographical Areas (Details)                        
84: R90         Schedule of Revenues by Segment (Details)           HTML    191K 
80: R91         Schedule of Long Lived Assets (Details)             HTML     40K 
113: XML         IDEA XML File -- Filing Summary                      XML    163K  
26: EXCEL       IDEA Workbook of Financial Reports                  XLSX    190K 
53: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS    970K 
17: EX-101.INS  XBRL Instance -- cbak-20140331                       XML   1.25M 
19: EX-101.CAL  XBRL Calculations -- cbak-20140331_cal               XML    201K 
20: EX-101.DEF  XBRL Definitions -- cbak-20140331_def                XML   1.86M 
21: EX-101.LAB  XBRL Labels -- cbak-20140331_lab                     XML   4.08M 
22: EX-101.PRE  XBRL Presentations -- cbak-20140331_pre              XML   2.06M 
18: EX-101.SCH  XBRL Schema -- cbak-20140331                         XSD    741K 
114: ZIP         XBRL Zipped Folder -- 0001062993-14-003226-xbrl      Zip    293K  


‘EX-99.9’   —   Miscellaneous Exhibit — exhibit99-9


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



  China Bak Battery, Inc.: Exhibit 99.9 - Filed by newsfilecorp.com  

Exhibit 99.9

English Summary of Loan Agreement Entered into by and between Shenzhen BAK Battery Co., Ltd. (the Company) and Shenzhen Eastern Branch, Agricultural Bank of China (the “Creditor”) Dated February 25, 2014

Main articles:

>

Contract number: 81010120140000191;

     

>

Loan principal: RMB 40 million;

     

>

Loan Term: from February 25, 2014 to February 24, 2015;

     

>

Floating interest rate: Interest rate of loan shall be 115% of the benchmark rate announced by the People’s Bank of China;

     

Interest accrued and settled per month, interest settlement day is the 20th day of each month;

     

Penalty interest rate for delayed repayment: current interest rate plus 50% * current interest rate;

     

Penalty interest rate for embezzlement of loan: current interest rate plus 100% * current interest rate;

     

>

If any of the following occurs, the Creditor is entitled to prepayment of loan principal and interest before maturity and cancel all loans undisbursed:

     

Delay in repayment of loan interest and the loan principal;

     

The Company uses loan proceeds for purposes other than what is agreed without consent of the Creditor;

     

The Company provides untrue representation or omit important financial information about its operation;

     

The Company terminates operation or is prevented from operation;

     

>

Purpose of the loan is to provide working capital for the Company;

Breach of contract penalties: cure the breach of contract during limited time period; suspension of loan undisbursed; release loan agreement, demand prepayment of loan principal and interest before maturity; imposition of punitive interest incurred due to delayed loan; imposition of punitive interest for embezzlement of loan; imposition of plural interest for unpaid interest; withdraw from any accounts of the Company the loan principal, interest and other fees; compensation for the Creditor’s expenses incurred due to demanding the loan principal and interest in case of litigation, among others.

Headlines of the articles omitted

> Loan arrangement
> Interest clearing of the loan
> Payment of the loan
> Guarantee
> Declaration and Promise
> Rights reserved
> Modification, Amendment and Termination of Contract
> Disputation settlement
> Attachment
> Other agreements
> Validity



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-Q’ Filing    Date    Other Filings
2/24/15
Filed on:5/20/14
For Period end:3/31/14NT 10-Q
2/25/14
 List all Filings 
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Filing Submission 0001062993-14-003226   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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