- Amended Statement of Ownership (SC 13G/A)
16 Febrero 2010 - 2:08PM
Edgar (US Regulatory)
<SEQUENCE>1
<FILENAME>abat_sc13ga.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Advanced Battery Technologies, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
00752H102
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section
of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
Page 1 of 9 Pages
CUSIP No. 00752H102 13G/A Page 2 of 9 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Hudson Bay Fund, LP
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
82,174 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 285,883 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
82,174 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 285,883 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
82,174 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 285,883 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
0.55%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
--------------------------------------------------------------------------------
|
CUSIP No. 00752H102 13G/A Page 3 of 9 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Hudson Bay Overseas Fund, Ltd.
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
146,083 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 561,177 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
146,083 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 561,177 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
146,083 shares of Common Stock
1 Share of Series E 0% Preferred Stock convertible into 250
250 shares of Common Stock
2008 warrants to purchase 561,177 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
1.05%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
--------------------------------------------------------------------------------
|
CUSIP No. 00752H102 13G/A Page 4 of 9 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Hudson Bay Capital Management, L.P.
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
1.58%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
--------------------------------------------------------------------------------
|
CUSIP No. 00752H102 13G/A Page 5 of 11 Pages
--------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
Sander Gerber
--------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
(3) SEC USE ONLY
--------------------------------------------------------------------------------
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
NUMBER OF (5) SOLE VOTING POWER
0
SHARES -----------------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
OWNED BY -----------------------------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING -----------------------------------------------------------------
PERSON WITH: (8) SHARED DISPOSITIVE POWER
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
--------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
228,257 shares of Common Stock
2 Share of Series E 0% Preferred Stock convertible into 500
shares of Common Stock
2008 warrants to purchase 847,060 shares of Common Stock
--------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[ ]
--------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
1.58%
--------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
--------------------------------------------------------------------------------
|
CUSIP No. 00752H102 13G/A Page 6 of 9 Pages
--------------------------------------------------------------------------------
Item 1.
This Amendment No. 1 (this "Amendmemt") amends the statement on Schedule 13G
(the "Original Schedule 13G")Filed on May 22, 2009 with repect to the common
shares, par value .0005 per share (the "Common Share") of:
Name of Issuer
Advanced Battery Technologies, Inc,a Delaware corporation
(the "Company")
Address of Issuer's Principal Executive Offices
15 West 39th Street, Suite 14A
New York, NY 10018
Capitalized terms uswed herein and not otherwise defined in this Amendment
have the meanings set forth in Schedule 13G. This Amendment amends and
restates Items 4 and 5 intheir entirety as set forth below.
Item 2(a). Name of Person Filing
This statement is filed by the entities and persons listed below, who are
collectively referred to herein as "Reporting Persons," with respect to
the Common Shares beneficially owned by the Reporting Person.
FUNDS
(i) Hudson Bay Fund, LP, with respect to the Common Stock beneficially
owned by it.
(ii) Hudson Bay Overseas Fund, Ltd. with respect to the Common Stock
beneficially owned by it.
INVESTMENT MANAGER
(iii) Hudson Bay Capital Management, L.P., (the "Investment Manager"),
with respect to the Common Stock beneficially owned by Hudson Bay
Fund, LP and Hudson Bay Overseas Fund, Ltd. (together, the "Hudson
Bay Funds") and to which the Investment Manager serves as investment
manager.
REPORTING INDIVIDUAL
(iv) Mr. Sander Gerber ("Mr. Gerber"), with respect to the Common Stock
held by each of the Hudson Bay Funds.
The Investment Manager serves as the investment manager to each of the
Hudson Bay Funds. Mr. Gerber is an executive officer of the Investment
Manager.
|
CUSIP No. 00752H102 13G/A Page 7 of 9 Pages
Item 2(b). Address of Principal Business Office or, if none, Residence
The address of the principal business office of Hudson Bay Overseas Fund,
Ltd. is:
Walkers SPV Limited, Walker House
PO Box 908GT, Mary Street
Georgetown, Grand Cayman
Cayman Islands
The address of the principal business office of each of the other
Reporting Persons is:
120 Broadway, 40th Floor
New York, NY 10271
Item 2(c). Citizenship
Citizenship is set forth in Row 4 of the cover page for each Reporting
Person hereto and is incorporated herein by reference for each such
Reporting Person.
Item 2(d) Title of Class of Securities
Common Stock, par value $0.001 per share (the "Common Shares")
Item 2(e) CUSIP Number
00752H102
Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C.
78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15
U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an investment
company under Section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
|
CUSIP No. 00752H102 13G/A Page 8 of 9 Pages
--------------------------------------------------------------------------------
Item 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11
of the cover page for each Reporting Person hereto and is incorporated
herein by reference for each such Reporting Person.
The Company's quarterly report report for the quartely period ending
September 30,2009, filed on form 10Q on November 9, 2009 indicates that the
total number of outstanding Common Stock is 66,904,092. The percentages set
forth on Row ll of the cover pages assumes the exercise of the reported warrants
and the conversion of the reported shares of preferred stock.
The Investment Manager, which serves as the investment manager to the
Hudson Bay Funds, may be deemed to be the beneficial owner of all Common
Shares owned by the Hudson Bay Funds. Mr. Gerber, as executive officer
of the Investment Manager, with the power to exercise investment discretion,
may be deemed to be the beneficial owner of all Common shares owned by the
Hudson Bay Funds. Each of the Investment Manager and the Reporting Individual
hereby disclaims any beneficial ownership of any such Common Shares, except
for their pecuniary interest therein.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following: [X]
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company
Not applicable.
Item 8. Identification and Classification of Members of the Group
Not applicable.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the undersigned certifies that, to the best of
its knowledge and belief, the securities referred to above were not acquired and
are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that
purpose or effect.
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CUSIP No. 00752H102 13G/A Page 9 of 9 Pages
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SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each
of the undersigned certifies that the information with respect to it set forth
in this statement is true, complete, and correct.
Dated: FEbruary 16, 2010
HUDSON BAY FUND, L.P. HUDSON BAY OVERSEAS FUND, LTD.
By: Hudson Bay Capital Management, L.P. By: Hudson Bay Capital Management, L.P.
Investment Manager Investment Manager
By: /s/ SANDER GERBER By: /s/ SANDER GERBER
Name: Sander Gerber Name: Sander Gerber
Title: Authorized Signatory Title: Authorized Signatory
HUDSON BAY CAPITAL MANAGEMENT, L.P. /s/ Sander Gerber
SANDER GERBER
By: /s/ SANDER GERBER
Name: Sander Gerber
Title: Authorized Signatory
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