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CBAK Energy Technology, Inc. – ‘10-K’ for 9/30/13 – ‘EX-99.3’

On:  Tuesday, 1/14/14, at 5:18pm ET   ·   For:  9/30/13   ·   Accession #:  1062993-14-200   ·   File #:  1-32898

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

 1/14/14  CBAK Energy Technology, Inc.      10-K        9/30/13  136:17M                                    Newsfile Corp/FA

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

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report -- form10k                            HTML    962K 
 2: EX-10.12    Material Contract -- exhibit10-12                   HTML     45K 
 3: EX-10.13    Material Contract -- exhibit10-13                   HTML     34K 
 4: EX-10.14    Material Contract -- exhibit10-14                   HTML     33K 
 5: EX-10.15    Material Contract -- exhibit10-15                   HTML     40K 
 6: EX-21.1     Subsidiaries List -- exhibit21-1                    HTML     34K 
 7: EX-23.1     Consent of Experts or Counsel -- exhibit23-1        HTML     37K 
 8: EX-23.2     Consent of Experts or Counsel -- exhibit23-2        HTML     35K 
11: EX-99.1     Miscellaneous Exhibit -- exhibit99-1                HTML     36K 
12: EX-99.2     Miscellaneous Exhibit -- exhibit99-2                HTML     40K 
13: EX-99.3     Miscellaneous Exhibit -- exhibit99-3                HTML     36K 
14: EX-99.4     Miscellaneous Exhibit -- exhibit99-4                HTML     35K 
15: EX-99.5     Miscellaneous Exhibit -- exhibit99-5                HTML     35K 
 9: EX-31.1     Certification -- §302 - SOA'02 -- exhibit31-1       HTML     41K 
10: EX-32.1     Certification -- §906 - SOA'02 -- exhibit32-1       HTML     35K 
92: R1          Document and Entity Information                     HTML     64K 
71: R2          Consolidated Balance Sheets                         HTML    140K 
87: R3          Consolidated Balance Sheets (Parenthetical)         HTML     45K 
96: R4          Consolidated Statements of Comprehensive Loss       HTML    105K 
123: R5          Consolidated Statements of Shareholders' Equity     HTML     62K  
74: R6          Consolidated Statements of Cash Flows               HTML    152K 
86: R7          Consolidated Statements of Cash Flows               HTML     35K 
                (Parenthetical)                                                  
65: R8          Principal Activities, Basis of Presentation and     HTML     87K 
                Organization                                                     
54: R9          Summary of Significant Accounting Policies and      HTML     82K 
                Practices                                                        
125: R10         Pledged Deposits                                    HTML     40K  
98: R11         Trade Accounts Receivable, net                      HTML     54K 
97: R12         Inventories                                         HTML     41K 
105: R13         Prepayments and Other Receivables                   HTML     56K  
106: R14         Property, Plant and Equipment, net                  HTML     59K  
102: R15         Prepaid Land Use Rights, net and Disposal of        HTML     45K  
                Tianjin Meicai New Material Technology Co., Ltd.                 
                (Tianjin Meicai)                                                 
107: R16         Intangible Assets, net                              HTML     41K  
88: R17         Short-term Bank Loans                               HTML     51K 
93: R18         Accrued Expenses and Other Payables                 HTML     64K 
100: R19         Long-term Bank Loans                                HTML     40K  
134: R20         Other Long-term Loans                               HTML     37K  
116: R21         Deferred Revenue                                    HTML     37K  
80: R22         Other Long-term Payables                            HTML     45K 
99: R23         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     72K 
                Liabilities                                                      
83: R24         Share-based Compensation                            HTML    122K 
43: R25         Net Loss per Share                                  HTML     43K 
117: R26         Fair Value of Financial Instruments                 HTML     42K  
130: R27         Commitments and Contingencies                       HTML     76K  
59: R28         Significant Concentrations                          HTML     46K 
58: R29         Segment Information                                 HTML     57K 
63: R30         China BAK Battery, Inc. (Parent Company)            HTML     42K 
64: R31         Subsequent Events                                   HTML     40K 
66: R32         Summary of Significant Accounting Policies          HTML    152K 
                (Policies)                                                       
31: R33         Summary of Significant Accounting Policies and      HTML     42K 
                Practices (Tables)                                               
114: R34         Pledged Deposits (Tables)                           HTML     40K  
78: R35         Trade Accounts Receivable, net (Tables)             HTML     54K 
81: R36         Inventories (Tables)                                HTML     39K 
48: R37         Prepayments and Other Receivables (Tables)          HTML     56K 
133: R38         Property, Plant and Equipment, net (Tables)         HTML     58K  
22: R39         Prepaid Land Use Rights, net and Disposal of        HTML     39K 
                Tianjin Meicai New Material Technology Co., Ltd.                 
                (Tianjin Meicai) (Tables)                                        
68: R40         Intangible Assets, net (Tables)                     HTML     39K 
121: R41         Short-term Bank Loans (Tables)                      HTML     47K  
45: R42         Accrued Expenses and Other Payables (Tables)        HTML     50K 
57: R43         Long-term Bank Loans (Tables)                       HTML     36K 
62: R44         Other Long-term Payables (Tables)                   HTML     43K 
72: R45         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     67K 
                Liabilities (Tables)                                             
30: R46         Share-based Compensation (Tables)                   HTML    121K 
53: R47         Net Loss per Share (Tables)                         HTML     40K 
24: R48         Commitments and Contingencies (Tables)              HTML     52K 
119: R49         Significant Concentrations (Tables)                 HTML     43K  
44: R50         Segment Information (Tables)                        HTML     54K 
115: R51         Principal Activities, Basis of Presentation and     HTML    254K  
                Organization (Narrative) (Details)                               
49: R52         Summary of Significant Accounting Policies and      HTML     43K 
                Practices (Narrative) (Details)                                  
69: R53         Inventories (Narrative) (Details)                   HTML     37K 
23: R54         Prepayments and Other Receivables (Narrative)       HTML     35K 
                (Details)                                                        
27: R55         Property, Plant and Equipment, net (Narrative)      HTML     46K 
                (Details)                                                        
61: R56         Prepaid Land Use Rights, net and Disposal of        HTML     85K 
                Tianjin Meicai New Material Technology Co., Ltd.                 
                (Tianjin Meicai) (Narrative) (Details)                           
35: R57         Intangible Assets, net (Narrative) (Details)        HTML     37K 
126: R58         Short-term Bank Loans (Narrative) (Details)         HTML     56K  
76: R59         Accrued Expenses and Other Payables (Narrative)     HTML     83K 
                (Details)                                                        
103: R60         Long-term Bank Loans (Narrative) (Details)          HTML     39K  
52: R61         Other Long-term Loans (Narrative) (Details)         HTML     43K 
55: R62         Deferred Revenue (Narrative) (Details)              HTML     39K 
112: R63         Other Long-term Payables (Narrative) (Details)      HTML     37K  
108: R64         Income Taxes, Deferred Tax Assets and Deferred Tax  HTML     56K  
                Liabilities (Narrative) (Details)                                
79: R65         Share-based Compensation (Narrative) (Details)      HTML    121K 
110: R66         Net Loss per Share (Narrative) (Details)            HTML     40K  
50: R67         Commitments and Contingencies (Narrative)           HTML    101K 
                (Details)                                                        
84: R68         Significant Concentrations (Narrative) (Details)    HTML     41K 
129: R69         China BAK Battery, Inc. (Parent Company)            HTML     51K  
                (Narrative) (Details)                                            
26: R70         Subsequent Events (Narrative) (Details)             HTML     93K 
42: R71         Schedule of Estimated Useful Lives of the Assets    HTML     48K 
                (Details)                                                        
70: R72         Schedule of Exchange Rates (Details)                HTML     49K 
33: R73         Schedule of Estimated Useful Lives of the           HTML     44K 
                Intangible Assets (Details)                                      
132: R74         Schedule of Pledged Deposits (Details)              HTML     48K  
46: R75         Schedule of Trade Accounts Receivable (Details)     HTML     53K 
37: R76         Schedule of Analysis of the Allowance for Doubtful  HTML     67K 
                Accounts (Details)                                               
41: R77         Schedule of Inventories (Details)                   HTML     48K 
28: R78         Schedule of Prepayments and Other Receivables       HTML     82K 
                (Details)                                                        
32: R79         Schedule of Analysis of Allowance for Doubtufl      HTML     55K 
                Accounts for Other Receivables (Details)                         
94: R80         Schedule of Property, Plant and Equipment           HTML     70K 
                (Details)                                                        
39: R81         Schedule of Depreciation Expense (Details)          HTML     53K 
127: R82         Schedule of Investment Property in Operating        HTML     35K  
                Leases (Details)                                                 
67: R83         Schedule of Minimum Future Rental Payments for      HTML     48K 
                Operating Leases (Details)                                       
101: R84         Schedule of Prepaid Land Use Rights (Details)       HTML     54K  
109: R85         Sdchedule of Intangible Assets (Details)            HTML     45K  
38: R86         Schedule of Facilities Secured by the Company's     HTML     77K 
                Assets (Details)                                                 
40: R87         Schedule of Accrued Expenses and Other Payables     HTML     98K 
                (Details)                                                        
124: R88         Schedule of Long Term Bank Loans (Details)          HTML     37K  
34: R89         Schedule of Government Subsidiaries (Details)       HTML     67K 
95: R90         Schedule of Income Taxes (Details)                  HTML     45K 
91: R91         Schedule of Income Tax Reconciliation (Details)     HTML     71K 
113: R92         Schedule of Deferred Tax Assets and Liabilities     HTML     85K  
                (Details)                                                        
90: R93         Schedule of Vested and Exercisable Options          HTML     50K 
                (Details)                                                        
75: R94         SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     64K 
                June 25, 2007 (Details)                                          
118: R95         SCHEDULE OF VALUATION OF OPTIONS GRANTED ON June    HTML     44K  
                25, 2007 (Details)                                               
73: R96         SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     62K 
                January 28, 2008 (Details)                                       
47: R97         SCHEDULE OF VALUATION OF OPTIONS GRANTED ON         HTML     42K 
                January 28, 2008 (Details)                                       
82: R98         SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     62K 
                May 29, 2008 (Details)                                           
77: R99         SCHEDULE OF VALUATION OF OPTIONS GRANTED ON May     HTML     42K 
                29, 2008 (Details)                                               
60: R100        SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     71K 
                June 22, 2009 (Details)                                          
136: R101        SCHEDULE OF VALUATION OF OPTIONS GRANTED ON June    HTML     42K  
                22, 2009 (Details)                                               
111: R102        SCHEDULE OF SUMMARY OF SHARE OPTION PLAN ACTIVITY   HTML     71K  
                April 8, 2010 (Details)                                          
89: R103        SCHEDULE OF VALUATION OF OPTIONS GRANTED ON April   HTML     42K 
                8, 2010 (Details)                                                
29: R104        Schedule of Earnings Per Share, Basic and Diluted   HTML     46K 
                (Details)                                                        
120: R105        Schedule of Capital Commitments (Details)           HTML     45K  
128: R106        Schedule Ofguarantees (Details)                     HTML     61K  
122: R107        Schedule of Discounted Bank Acceptance Bills        HTML     37K  
                (Details)                                                        
85: R108        Schedule of Customer Accounted for More Than 10%    HTML     38K 
                of the Company's Total Trade Accounts Receivable                 
                (Details)                                                        
36: R109        Schedule of Revenue by Major Customers by           HTML     42K 
                Reporting Segments (Details)                                     
104: R110        Schedule of Net Revenues by Product (Details)       HTML     81K  
51: R111        Schedule of Net Revenues by Geographical Area       HTML     83K 
                (Details)                                                        
131: XML         IDEA XML File -- Filing Summary                      XML    197K  
25: EXCEL       IDEA Workbook of Financial Reports                  XLSX    226K 
56: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS   1.14M 
16: EX-101.INS  XBRL Instance -- cbak-20130930                       XML   1.39M 
18: EX-101.CAL  XBRL Calculations -- cbak-20130930_cal               XML    207K 
19: EX-101.DEF  XBRL Definitions -- cbak-20130930_def                XML   1.99M 
20: EX-101.LAB  XBRL Labels -- cbak-20130930_lab                     XML   4.31M 
21: EX-101.PRE  XBRL Presentations -- cbak-20130930_pre              XML   2.20M 
17: EX-101.SCH  XBRL Schema -- cbak-20130930                         XSD    801K 
135: ZIP         XBRL Zipped Folder -- 0001062993-14-000200-xbrl      Zip    318K  


‘EX-99.3’   —   Miscellaneous Exhibit — exhibit99-3


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



  China BAK Battery, Inc.: Exhibit 99.3 - Filed by newsfilecorp.com  

Exhibit 99.3

Summary of Accounts Receivable Pledge Contract ( the Contract) Entered into by and between Shenzhen BAK Battery, Co., Ltd (the “Mortgager”) and Shenzhen Longgang Branch, Bank of China (the “Creditor”) on July 3, 2013

Main contents:

Related Sales Contracts Currency Amounts of Accounts Receivable Register
All RMB All the accounts receivables incurred from the effectiveness of this contract People’s Bank of China

Headlines of the articles omitted:

1



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:1/14/14
For Period end:9/30/1310-K/A,  8-K,  NT 10-K
7/3/13
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Filing Submission 0001062993-14-000200   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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