abat8k20090930.htm
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
COMMISSION
FILE NO.: 1-33726
Date
of Report: September 30, 2009
ADVANCED
BATTERY TECHNOLOGIES, INC.
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(Exact
name of registrant as specified in its charter)
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Delaware
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22-2497491
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(State
of other jurisdiction of
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(IRS
Employer
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incorporation
or organization
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Identification
No.)
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15
West 39th
Street, Suite 14A, New York, New York
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10018
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(Address
of principal executive offices)
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(Zip
Code)
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212-391-2752
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(Registrant’s
telephone number including area
code)
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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:
□ 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
1.01
Entry
into Material Definitive Agreement
On
September 30, 2009 Advanced Battery Technologies entered into a Securities
Purchase Agreement. The Securities Purchase Agreement provides that,
at a closing expected to occur on October 5, 2009 after satisfaction of standard
closing conditions, Advanced Battery Technologies will sell 4,592,145 shares of
common stock and 1,377,644 common stock purchase warrants (the
“Warrants”). The purchasers are institutional
investors. The aggregate purchase price for the securities will be
$19,000,001.48.
Each Warrant will permit the holder to
purchase one share of common stock from Advanced Battery Technologies for a
price of $4.70 per share. The Warrants will expire in five
years.
We are making the offering and sale of
the shares and warrants pursuant to a shelf registration statement on Form S-3
(Registration No. 333-161384) that was declared effective by the Securities and
Exchange Commission on September 2, 2009, and a base prospectus dated as of the
same date, as supplemented by a prospectus supplement to be filed with the
Securities and Exchange Commission on October 1, 2009.
Item
9.01 Financial
Statements and Exhibits
Exhibits
10-a
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Securities
Purchase Agreement dated September 30, 2009 among Advanced Battery
Technologies, Inc. and certain named
Purchasers.
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SIGNATURES
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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ADVANCED
BATTERY TECHNOLOGIES, INC.
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Dated:
October 1, 2009
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By:/s/ Fu
Zhiguo
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Fu
Zhiguo, Chief Executive Officer
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