 Recent Internal Control Issues Recent Disclosure Control Issues Material Legal Proceedings
| Ticker |
CBAK (Nasdaq National Mkt) |
Auditor |
PKF Hong Kong SAR since 2007 |
| IRS Number |
88-0442833 |
CIK Code |
1117171 SEC Filings |
| Fiscal Year End |
September 30th |
Accelerated Filer |
Yes, as of 30 September 2008 (10-K 2008-12-12) |
| Business Address |
BAK INDUSTRIAL PARK, NO. 1 BAK STREET
KUICHONG TOWN, LONGGANG DISTRICT
SHENZHEN, CHINA 518119
86-755-8977-0093 |
Mailing Address |
BAK INDUSTRIAL PARK, NO. 1 BAK STREET
KUICHONG TOWN, LONGGANG DISTRICT
SHENZHEN PEOPLE, CHINA 518119 |
| IPO Year |
|
Company Website |
www.bak.com.cn
|
| Index |
Member Russell 2000
|
Industry |
SIC: 3690
Miscellaneous Electrical Machinery, Equipment & Supplies
NAICS: 335911
Storage Battery Manufacturing
|
| Market Cap |
$101,517,000 |
Shares Outstanding |
57,680,000 |
| Revenue (yr)** |
$245,348,000 |
Float |
37,009,000 |
| Revenue (mrq) |
$72,738,100 |
Short Interest |
1,645,611 (2008/12/10) |
| Earnings (mrq) |
$1,471,850 |
Last Report |
10-K/A (2009-01-05) |
| Book Value |
$166,911,000 |
Last Non-Timely Filing |
NT 10-K (2007-12-17) More Detail >> |
| Assets |
$424,047,000 |
Last Securities Registration |
S-8 (2008-09-24) |
Financial info as of 2008-09-30. ** Trailing twelve months.
| Restatements More Detail >> |
2006-08-04 8-K for the period from 2002-10-01 to 2006-03-31
2006-03-29 8-K for the period from 2005-01-01 to 2005-12-31
2006-01-31 10KSB/A for the period from 2004-01-01 to 2005-06-30
2005-12-09 SB-2 for the period from 2002-10-01 to 2004-09-30
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| Auditor Changes More Detail >> |
2007-04-01 engaged PKF Hong Kong SAR
2007-04-01 dismissed KPMG LLP
2006-08-02 engaged KPMG LLP
2006-05-12 dismissed Schwartz Levitsky Feldman
2005-01-20 engaged Schwartz Levitsky Feldman
2005-01-20 dismissed George Stewart CPA
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| Director / Officer Changes More Detail >> |
| 2007-08-03 8-K | | Appointed Tony Shen CFO/ Secretary | | Resigned Yongbin Han CFO/ Secretary (retains other positions) | | | 2007-06-29 8-K | | Resigned Jay J Shi Director | | Resigned Joseph R Mannes Director | | Appointed Charlene Spoede Budd Director/ Chair of Audit Committee | | Appointed Chunzi Zhang Director/ Chairman of Compensation Committee | | | 2006-12-22 8-K | | Appointed Zhongyi Deng VP of Business Development | | | 2005-01-21 8-K | | Appointed Xiangqian Li Director/ Chairman of the Board/ President/ CEO | | Appointed Yongbin Han CFO/ Secretary | | Appointed Huanyu Mao PH.D Chief Technology Officer | | Resigned Mr. Halter Director | | | 2004-06-15 8-K | | Resigned Harry Miller Officer/ Director | | Appointed Timothy Halter Director | |
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| Auditor Fees More Detail >> |
| Year |
Audit Fees |
Non-Audit Fees |
Total Fees |
| 2008 | $175,000 | $43,059 | $218,059 |
| 2007 | $223,630 | $24,375 | $248,005 |
| 2006 | $935,826 | $9,342 | $945,168 |
| 2005 | $161,000 | $97,000 | $258,000 |
| 2004 | $190,000 | $0 | $190,000 |
| 2003 | $2,750 | $500 | $3,250 |
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| Audit Opinions More Detail >> |
| Year |
Auditor |
Auditor Location |
| 2008 | PKF Hong Kong SAR | Hong Kong, China |
| 2007 | PKF Hong Kong SAR | Hong Kong, China |
| 2006 | KPMG LLP | Hong Kong, China |
| 2005 | Schwartz Levitsky Feldman | Toronto, Ontario |
| 2004 | Schwartz Levitsky Feldman | Toronto, Ontario |
| 2003 | George Stewart CPA GC | Seattle, Washington |
| 2002 | George Stewart CPA GC | Seattle, Washington |
| 2001 | George Stewart CPA GC | Seattle, Washington |
| 2000 | Barry L Friedman PC GC | Las Vegas, Nevada |
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| Controls More Detail >> |
| Period |
NT |
ICFR (404) - Auditor |
ICFR (404) - Management |
DC (302) - Management |
CIC (302) - Management |
| 20080930 10-K | | PKF Hong Kong SAR
|
| | q |
| 20080630 10-Q | | | | | q |
| 20080331 10-Q | | | | | q |
| 20071231 10-Q | | | | | q |
| 20070930 10-K | | PKF Hong Kong SAR
|
| | q |
| 20070630 10-Q | | | | | q |
| 20070331 10-Q | | | | | q |
| 20061231 10-Q | | | | | q |
| 20060930 10-K | | KPMG LLP
|
| | |
| 20060630 10-Q | | | | | q |
| 20060331 10-Q | | | |  | q |
| 20051231 10QSB | | | | | |
| 20050930 10KSB | | | | | |
| 20050630 10QSB | | | | a | |
| 20050331 10QSB | | | | a | |
| 20041231 10KSB | | | | a | |
| 20040930 10QSB | | | | a | |
| 20040630 10QSB | | | | a | |
| 20040331 10QSB | | | | a | |
| 20031231 10KSB | | | | a | |
| 20030930 10QSB | | | | a | |
| 20030630 10QSB | | | | a | |
| 20030331 10QSB | | | | a | |
| 20021231 10KSB | | | | a | |
| 20020930 10QSB | | | | | |
NT = Non-Timely or Late Filing Notification Issued for the Period
ICFR - Auditor = Internal Controls over Financial Reporting (SOX 404) - Auditor's Assessment
ICFR - Management = Internal Controls over Financial Reporting (SOX 404) - Management's Assessment
DC - Management = Disclosure Controls (SOX 302) - Management's Assessment
CIC - Management = Changes in Internal Controls (SOX 302) - Management's Disclosure
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