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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ( Mark One ) × ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended : December 31 , 2020 □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Nevada to Commission File No. 001-32898 CBAK ENERGY TECHNOLOGY , INC . ( Exact Name of Registrant as Specified in Its Charter ) ( State or Other Jurisdiction of Incorporation or Organization ) CBAK Industrial Park , Meigui Street Huayuankou Economic Zone Dalian City , Liaoning Province , People's Republic of China , 116450 ( Address of Principal Executive Offices ) ( 86 ) ( 411 ) -3918-5985 ( Registrant's telephone number , including area code ) 88-0442833 ( I.R.S. Employer Identification No. ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class Trading Symbol ( s ) Common Stock , $ 0.001 par value CBAT Securities registered pursuant to Section 12 ( g ) of the Exchange Act : None Name of each exchange on which registered Nasdaq Capital Market Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes □ No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes □ No Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes > No □ Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No □ Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , ” “ smaller reporting company , " and " emerging growth company ” in Rule 12b - 2 of the Exchange Act . Large Accelerated Filer Non - Accelerated Filer ☐ ☑ Accelerated Filer Smaller reporting company Emerging growth company ☑ If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . □ Indicate by check mark whether registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) Yes □ No As of June 30 , 2020 ( the last business day of the registrant's most recently completed second fiscal quarter ) , the aggregate market value of the shares of the registrant's common stock held by non - affiliates ( based upon the closing sale price of $ 0.76 per share ) was approximately $ 21 million . Shares of the registrant's common stock held by each executive officer and director and by each person who owns 10 % or more of the outstanding common stock have been excluded from the calculation in that such persons may be deemed to be affiliates of the registrant . This determination of affiliate status is not necessarily a conclusive determination for other purposes . There was a total of 88,106,019 shares of the registrant's common stock outstanding as of April 9 , 2021 .