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UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549

FORM 10-K/A(Amendment No. 1)

(Mark One)

[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended: September 30, 2013

[   ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from ____________to _____________

Commission File No. 001-32898

CHINA BAK BATTERY, INC.-------------------------------------------------------------------------------------------------------(Exact
Name of Registrant as Specified in Its Charter)

|Nevada                                           | 88-0442833                          
|------------------------------------------------ | ------------------------------------
|(State or Other Jurisdiction of Incorporation or | (I.R.S. Employer Identification No.)
|Organization)                                    |                                     

BAK Industrial ParkNo. 1 BAK StreetKuichong Town, Longgang DistrictShenzhen 518119Peoples Republic of China-------------------------------------------------------------------------------------------------------(Address
of Principal Executive Offices)

(86-755) 61886818-6957-------------------------------------------------------------------------------------------------------(Registrants
telephone number, including area code)

Securities registered pursuant to Section 12(b) of the Act:

|Title of each class                      | Name of each
exchange on which registered             
|---------------------------------------- | ------------------------------------------------------
|Common Stock, par value $0.001 per share | The NASDAQ Stock
Market LLC (The NASDAQ Global Market)

Securities registered pursuant to Section 12(g) of the Exchange
Act: None

Indicate by check mark if the registrant is a well-known
seasoned issuer, as defined in Rule 405 of the Securities Act.

Yes [ 
 ]                 
No [X]

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 [X]

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
[X]                 
No [   ]

Indicate by check mark whether the registrant has submitted
electronically and posted on its corporate Web site, if any, every Interactive
Data File required to be submitted and posted 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 and post such files)

Yes
[X]                 
No [   ]

Indicate by check mark if disclosure of delinquent filers
pursuant to Item 405 of Regulation S-K is not contained herein, and will not be
contained, to the best of registrants knowledge, in definitive proxy or
information statements incorporated by reference in Part III of this Form 10-K
or any amendment to this Form 10-K. [X]

---

Indicate by check mark whether the registrant is a large
accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of large accelerated filer,
accelerated filer and smaller reporting company in Rule 12b-2 of the
Exchange Act.

|Large Accelerated Filer [   ] |                                                     | Accelerated Filer  [   ]     
|----------------------------- | --------------------------------------------------- | -----------------------------
|Non-Accelerated Filer  [   ]  | (Do not check if a smaller
      reporting company) | Smaller reporting company [X]

Indicate by check mark whether registrant is a shell company
(as defined in Rule 12b-2 of the Act)

Yes [  
]                  
 No [X]

As of March 31, 2013 (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 such shares as reported on The NASDAQ Global Market)
was approximately $10.2 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 were a total of 12,619,597 shares of the registrants
common stock outstanding as of January 10, 2014.

DOCUMENTS INCORPORATED BY REFERENCE

None.

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CHINA BAK BATTERY, INC.Annual Report on Form 10-K


TABLE OF CONTENTS

|EXPLANATORY NOTE   | 1                                                                                                    
|------------------ | -----------------------------------------------------------------------------------------------------
|                   |                                                                                                      
|PART III           |                                                                                                      
|**ITEM
      10.** | DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE
      GOVERNANCE.                                        
|ITEM 11.           | EXECUTIVE COMPENSATION.                                                                              
|**ITEM
      12.** | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL
      OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS.
|**ITEM
      13.** | CERTAIN RELATIONSHIPS AND
      RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE.                     
|ITEM 14.           | PRINCIPAL ACCOUNTING FEES AND SERVICES.                                                              
|PART IV            |                                                                                                      
|**ITEM
      15.** | EXHIBITS, FINANCIAL STATEMENT SCHEDULES.                                                             

i

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EXPLANATORY NOTE

This Amendment No.1 on Form 10-K/A (this Amendment or this
Form 10-K/A) amends the Annual Report on Form 10-K of China BAK Battery, Inc.
(the Company) for the year ended September 30, 2013, as filed with the
Securities and Exchange Commission on January 14, 2014 (the Original Form
10-K). This Amendment is being filed solely for the purpose of disclosing
information required in Part III of the Original Form 10-K that the Company will
not be incorporating by reference to a definitive proxy statement by the
required deadline. No other Parts or disclosures from the Original Form 10-K are
included in this Amendment other than Part III and Part IV below, and except as
required to reflect the matters set forth in such included disclosure, this
Amendment does not reflect events or developments that have occurred after the
date of the Original Form 10-K and does not modify or update disclosures
presented in the Original Form 10-K in any way.

Among other things, forward-looking statements made in the
Original Form 10-K have not been revised to reflect events, results, or
developments that have occurred or facts that have become known to us after the
date of the Original Form 10-K (other than as discussed above), and such
forward-looking statements should be read in their historical context.
Accordingly, this Amendment should be read in conjunction with our filings made
with the Securities and Exchange Commission subsequent to the filing of the
Original Form 10-K.

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PART III

|ITEM 10. | DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE
      GOVERNANCE.
|-------- | -------------------------------------------------------------

Directors and Executive Officers

The following sets forth the name and position of each of our
current executive officers and directors.

|NAME           | AGE | POSITION                                                                                
|-------------- | --- | ----------------------------------------------------------------------------------------
|Xiangqian Li   | 45  | Chairman of the Board, Chief
      Executive Officer and Interim Chief Financial Officer
|Huanyu Mao     | 62  | Director and Chief Technology Officer                                                   
|Chunzhi Zhang  | 51  | Director                                                                                
|Martha C. Agee | 59  | Director                                                                                
|Jianjun He     | 41  | Director                                                                                

Xiangqian Lihas served as the chairman of our
board, our president and chief executive officer since January 20, 2005. He has
been a director of BAK International since November 2004. Mr. Li is also serving
as our Interim Chief Financial Officer until a permanent Chief Financial Officer
of the Company is duly appointed. Mr. Li is the founder and has served as the
chairman of the board of Shenzhen BAK since its inception in August 2001, and
served as Shenzhen BAKs general manager since December 2003. From June 2001 to
June 2003, Mr. Li was the chairman of Huaran Technology Co., Ltd., a
PRC-incorporated company engaged in the car audio business. Mr. Li received a
bachelors degree in thermal energy and power engineering from the Lanzhou
Railway Institute, China and a doctorate degree in quantitative economics from
Jilin University in China.

Huanyu Maohas served as a director of the
Company since May 12, 2006. He has also served as our Chief Technology Officer
since January 20, 2005 and as our Chief Operating Officer from June 30, 2005 to
February 24, 2009. Dr. Mao has served as the General Manager of BAK Tianjin
since January 4, 2009. Dr. Mao has been the chief scientist of Shenzhen BAK
since September 2004. Prior to joining us, between 1997 and September 2004, Dr.
Mao was the chief technology officer of Tianjin Lishen, a leading battery
manufacturer in China. Dr. Mao pioneered core technologies on the lithium-ion
battery before its commercialization in 1992 and was the inventor under seven
U.S. patents relating to lithium-ion technology. Dr. Mao received a doctorate
degree in electrochemistry from Memorial University of Newfoundland, Canada
where he focused on conductive polymers.

Chunzhi Zhanghas served as our director since
June 25, 2007. Since mid-2005, Mr. Zhang has served as General Manager of
AASTOCKS.com, Ltd., Shenzhen Branch, a software integration and one-stop system
solutions provider for financial markets in China. From 2003 through mid-2005,
Mr. Zhang served as General Manager of Shenzhen Sharemax Management Co., Ltd,
where he was involved in both private equity business and asset management. From
1998 through 2003, Mr. Zhang served as General Manager of Haixing Security
Brokerage Co., Ltd, Shenzhen Branch, involved in securities trading and asset
management. Prior to joining Haixing Security Brokerage, from 1985 to 1996, Mr.
Zhang served as senior Management in Hong Kong for China Resources Holding Co.,
Ltd., a China central government-owned enterprise. Mr. Zhang received his
bachelor degree in Economy from Jilin University in 1985 and MBA degree from
University of Wales in the United Kingdom. Mr. Zhang is also a distinguished
finance lecturer at the Graduate School in Shenzhen of Tsinghua University.

Martha C. Ageehas served as our director since
November 15, 2012 and Chair of the Audit Committee since August 6, 2013. Since
1997, Ms. Agee has been a senior lecturer of business law at Hankamer School of
Business of Baylor University where she teaches courses in the Legal Environment
of Business, International Business Law, and Healthcare Law & Ethics for
graduate and undergraduate students. Prior to that, Ms. Agee practiced law from
1988 to 1996. Ms. Agee obtained her bachelors degree in Accounting in 1976 and
Juris Doctorate degree in 1988 from Baylor University.

Jianjun Hehas served as our director since
November 4, 2013. Mr. He has more than 15 years experience in accounting and
finance and is an associate member of the Chinese Institute of Certificate
Public Accounts. Mr. He has been the Managing Director of Jilin Cybernaut Lvke
Investment and Management Co., Ltd., an investment consulting firm in China,
since January 1, 2013. From June 30, 2009 to December 31, 2012, Mr. He served as
the Chief Financial Officer of THT Heat Transfer Technology, Inc. (Nasdaq: THTI)
(THT Heat), a provider of heat exchangers and heat exchange solutions
in China. Mr. He was the Chief Financial Officer of Siping City Juyuan Hanyang Plate Heat Exchanger Co. Ltd, a wholly owned subsidiary of THT Heat from 2007 to December 2012. From 1999 to 2007, Mr. He worked as senior financial officer in Jilin
Grain Group, a state-owned enterprise engaged in the grain processing and trading business. Mr. He graduated from Changchun Taxation College in 1995 with a Bachelor’s degree in Auditing and obtained a Master’s degree from Jilin
University in 2005.

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There are no agreements or understandings for any of our executive officers or director to resign at the request of another person and no officer or director is acting on behalf of nor will any of them act at the direction of any other person.

Directors are elected until their successors are duly elected and qualified.

Director Qualifications

Directors are responsible for overseeing the Company’s business consistent with their fiduciary duty to shareholders. This significant responsibility requires highly-skilled individuals with various qualities, attributes and professional
experience. The Board believes that there are general requirements for service on the Company’s Board of Directors that are applicable to all directors and that there are other skills and experience that should be represented on the Board as a
whole but not necessarily by each director. The Board and the Nominating and Corporate Governance Committee of the Board consider the qualifications of directors and director candidates individually and in the broader context of the Board’s
overall composition and the Company’s current and future needs.

Qualifications for All Directors

In identifying and evaluating nominees, the Nominating and Corporate Governance Committee may consult with the other Board members, management, consultants, and other individuals likely to possess an understanding of the Company’s business and
knowledge of suitable candidates. In making its recommendations, the Nominating and Corporate Governance Committee assesses the requisite skills and qualifications of nominees and the composition of the Board as a whole in the context of the Board's
criteria and needs. In evaluating the suitability of individual Board members, the Nominating and Corporate Governance Committee may take into account many factors, including general understanding of marketing, finance and other disciplines relevant
to the success of a publicly traded company in today’s business environment; understanding of the Company’s business and technology; the international nature of the Company’s operations; educational and professional background; and
personal accomplishment. The Nominating and Corporate Governance Committee evaluates each individual in the context of the Board as a whole, with the objective of recommending a group that can best perpetuate the success of the Company’s
business and represent stockholder interests through the exercise of sound judgment, using its diversity of experience. The Nominating and Corporate Governance Committee also ensures that a majority of nominees would be “independent
directors” as defined under the applicable rules of the SEC and The NASDAQ Stock Market LLC.

Qualifications, Attributes, Skills and Experience to be Represented on the Board as a Whole

In its assessment of each potential candidate, including those recommended by stockholders, the Nominating and Corporate Governance Committee considers the nominee’s judgment, integrity, experience, independence, understanding of the
Company’s business or other related industries and such other factors the Nominating and Corporate Governance Committee determines are pertinent in light of the current needs of the Board. The Nominating and Corporate Governance Committee also
takes into account the ability of a Director to devote the time and effort necessary to fulfill his or her responsibilities to the Company.

The Board and the Nominating and Corporate Governance Committee require that each Director be a recognized person of high integrity with a proven record of success in his or her field. Each Director must demonstrate innovative thinking, familiarity
with and respect for corporate governance requirements and practices, an appreciation of multiple cultures and a commitment to sustainability and to dealing responsibly with social issues. In addition to the qualifications required of all Directors,
the Board assesses intangible qualities including the individual’s ability to ask difficult questions and, simultaneously, to work collegially.

The Board has identified particular qualifications, attributes, skills and experience that are important to be represented on the Board as a whole, in light of the Company’s current needs and business priorities. The Company’s services
are
performed in various countries and in significant areas of future growth located outside of the United States. Accordingly, the Board believes that international experience or specific knowledge of key geographic growth areas and diversity of
professional experiences should be represented on the Board. In addition, the Company’s business is multifaceted and involves complex financial transactions. Therefore, the Board believes that the Board should include some Directors with a
high level of financial literacy and some Directors who possess relevant business experience as a Chief Executive Officer or President. Our business involves complex technologies in a highly specialized industry. Therefore, the Board believes that
extensive knowledge of the Company’s business and industry should be represented on the Board.

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The Board and the Nominating and Corporate Governance Committee do not have a specific diversity policy, but consider diversity of race, ethnicity, gender, age, cultural background and professional experiences in evaluating candidates for Board
membership. Diversity is important because a variety of points of view contribute to a more effective decision-making process.

Summary of Qualifications of Directors

Set forth below is a narrative disclosure that summarizes some of the specific qualifications, attributes, skills and experiences of our directors. For more detailed information, please refer to the biographical information for each director set
forth above.

Mr. Li has extensive senior management experience in the industry in which we operate, having served as our Chief Executive Officer and Chairman since January 2005 and as the Chief Executive Officer or Chairman of various other companies
since 2001.

Dr. Mao has a rich knowledge in lithium–ion battery technology, and has served as our Chief Technology Officer since January 20, 2005. Dr. Mao pioneered core technologies on
the lithium-ion battery before its commercialization in 1992 and
was the inventor under seven U.S. patents relating to lithium-ion technology. Dr. Mao received a doctorate degree in electrochemistry from Memorial University of Newfoundland, Canada where he focused on conductive polymers.

Mr. Zhang, Chair of the Compensation Committee, is experienced in securities analysis and investment. Mr. Zhang has accumulated this experience in managerial positions in firms in the securities industry since 1998. Mr. Zhang received his
bachelor degree in Economy from Jilin University in 1985.

Ms. Agee, Chair of the Audit Committee, was previously a Certified Public Accountant, worked as Chief Accountant for
a political sub-division for five and a half years and worked as Supervisor of Accounting for
a large retail chain with  responsibilities that included hiring, training, and supervision of accounting staff; preparation and analysis of 17 monthly financial statements and quarterly consolidated financial statements; budgeting, and internal auditing.

Mr. He, Chair of the Nominating and Corporate Governance Committee, has more than 15 years experience in accounting and finance and is an associate member of the Chinese Institute of Certificate Public Accounts.

Family Relationships

There are no family relationships among our directors or officers.

Involvement in Certain Legal Proceedings

To the best of our knowledge, none of our directors or executive officers has, during the past ten years:

- been convicted in a criminal proceeding or been subject to a pending criminal proceeding (excluding traffic violations and other minor offences);
- had any bankruptcy petition filed by or against the business or property of the person, or of any partnership, corporation or business association of which he was a general partner or executive officer, either at the time of the bankruptcy filing or
within two years prior to that time;

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- been subject to any order, judgment, or decree, not subsequently reversed, suspended or vacated, of any court of competent jurisdiction or federal or state authority, permanently or temporarily enjoining, barring, suspending or otherwise limiting,
his involvement in any type of business, securities, futures, commodities, investment, banking, savings and loan, or insurance activities, or to be associated with persons engaged in any such activity;
- been found by a court of competent jurisdiction in a civil action or by the Securities and Exchange Commission or the Commodity Futures Trading Commission to have violated a federal or state securities or commodities law, and the judgment has not
been reversed, suspended, or vacated;
- been the subject of, or a party to, any federal or state judicial or administrative order, judgment, decree, or finding, not subsequently reversed, suspended or vacated (not including any settlement of a civil proceeding among private litigants),
relating to an alleged violation of any federal or state securities or commodities law or regulation, any law or regulation respecting financial institutions or insurance companies including, but not limited to, a temporary or permanent injunction,
order of disgorgement or restitution, civil money penalty or temporary or permanent cease-and-desist order, or removal or prohibition order, or any law or regulation prohibiting mail or wire fraud or fraud in connection with any business entity;
or
- been the subject of, or a party to, any sanction or order, not subsequently reversed, suspended or vacated, of any self- regulatory organization (as defined in Section 3(a)(26) of the Exchange Act (15 U.S.C. 78c(a)(26))), any registered entity (as
defined in Section 1(a)(29) of the Commodity Exchange Act (7 U.S.C. 1(a)(29))), or any equivalent exchange, association, entity or organization that has disciplinary authority over its members or persons associated with a member.

Board Composition and Committees

Our board of directors is comprised of Xiangqian Li, Huanyu Mao, Chunzhi Zhang, Martha C. Agee and Jianjun He.

Chunzhi Zhang, Martha Agee and Jianjun He each serves on our board of directors as an “independent director” as defined  by Rule 5605(a)(2) of the NASDAQ Listing Rules. Our board of directors has determined that Martha Agee
possesses the accounting or related financial management experience that qualifies her as financially sophisticated within the meaning of Rule 5605(c)(2)(A) of the NASDAQ Listing Rule and that she is an “audit committee financial expert”
as defined by the rules and regulations of the SEC.

Our board of directors currently has three standing committees which perform various duties on behalf of and report to the board of directors: (i) audit committee, (ii) compensation committee and (iii) nominating and corporate governance committee.
Each of the three standing committees is comprised entirely of independent directors. From time to time, the board of directors may establish other committees.

Audit Committee

Our Audit Committee consists of three members: Martha C. Agee, Chunzhi Zhang and Jianjun He.  Pursuant to the determination of our Board of Directors, Ms. Agee serves as the chair of the Audit Committee and as our Audit Committee financial expert as
that term is defined by the applicable SEC rules. Each director who has served or is serving on our Audit Committee was or is “independent” as that term is defined under the NASDAQ listing rules for Audit Committee members at all times
during their service on such Committee.

The Audit Committee, which was established in accordance with Section 3(a)(58)(A) of the Exchange Act, oversees our accounting and financial reporting processes and the audits of the financial statements of our company.  The Audit Committee is
responsible for, among other things:

- selecting our independent auditors and pre-approving all auditing and non-auditing services permitted to be performed by our independent auditors;
- reviewing with our independent auditors any audit problems or difficulties and management’s response;
- reviewing and approving certain proposed related-party transactions, as defined in Item 404 of SEC Regulation S- K;
- discussing the annual audited financial statements with management and our independent auditors;

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- reviewing major issues as to the adequacy of our internal controls and any special audit steps adopted in light of significant internal control deficiencies;
- annually reviewing and reassessing the adequacy of our Audit Committee Charter;
- such other matters that are specifically delegated to our Audit Committee by our Board from time to time;
- meeting separately and periodically with management and our internal and independent auditors; and
- reporting regularly to the full Board.

Compensation Committee

Our Compensation Committee consists of three members: Martha C. Agee, Chunzhi Zhang and Jianjun He, with Mr. Zhang serving as chair. Each director who has served or is serving on our Compensation Committee was or is “independent” as that
term is defined under the NASDAQ listing rules at all times during their service on such Committee.

Our Compensation Committee assists the Board in reviewing and approving the compensation structure of our directors and executive officers, including all forms of compensation to be provided to our directors and executive officers. Our Chief
Executive Officer may not be present at any Committee meeting during which his compensation is deliberated. The Compensation Committee is permitted to delegate its authority in accordance with Nevada law unless prohibited by the Company’s
Bylaws or the Compensation Committee Charter.

The Compensation Committee is responsible for, among other things:

- determining the compensation package for our executive officers (other than our Chief Executive Officer);
- reviewing and making recommendations to the Board with respect to the compensation of our directors and Chief Executive Officer;
- reviewing and approving corporate goals and objectives relevant to the compensation of our Chief Executive Officer;
- evaluating the performance of our Chief Executive Officer in light of those goals and objectives, and recommending the compensation level of our chief executive officer based on this evaluation;
- reviewing periodically and making recommendations to the Board regarding any long-term incentive compensation or equity plans, programs or similar arrangements; and
- reviewing and approving any employment agreements, retirement agreements, severance arrangements, change-in- control arrangements or special or supplemental employee benefits and any material amendments to the foregoing, applicable to executive
officers, including the Chief Executive Officer.

The Compensation Committee may delegate all or a portion of its duties and responsibilities to a subcommittee of the Committee. The Compensation Committee also has the authority and sole discretion to retain compensation consultants as it deems
necessary.

The Chief Executive Officer makes recommendations concerning the performance and compensation of the Company’s other executive officers. The Committee oversees these recommendations and makes final determinations as to the other executive
officers’ compensation.

Nominating and Corporate Governance Committee

Our Nominating and Corporate Governance Committee consists of three members: Martha C. Agee, Chunzhi Zhang and Jianjun He, with Mr. He serving as chair. Each director who has served or is serving on our Nominating and Corporate Governance Committee
was or is “independent” as that term is defined under the NASDAQ listing standards at all times during their service on such Committee.

The Nominating and Corporate Governance Committee assists the Board in identifying individuals qualified to become our directors and in determining the composition of the Board and its committees. The Nominating and Corporate Governance Committee is
responsible for, among other things:

- identifying and recommending to the Board nominees for election or re-election to the Board, or for appointment to fill any vacancy;

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- reviewing annually with the Board the current composition of the Board in
  light of the characteristics of independence, business experience, and
  specific areas of expertise;
- identifying and recommending to the Board the directors to serve as
  members of the Boards committees;
- evaluating risk associated with management decisions and strategic
  direction and reporting concerns to the full Board;
- evaluating the performance of independent directors and making suggestions
  to the full Board concerning director qualifications and number of independent
  directors; and
- monitoring compliance with our Code of Business Ethics and Conduct.

Code of Business Ethics and Conduct

We have adopted a Code of Business Ethics and Conduct relating
to the conduct of our business by our employees, officers and directors. We
intend to maintain the highest standards of ethical business practices and
compliance with all laws and regulations applicable to our business, including
those relating to doing business outside the United States. During the fiscal
year ended September 30, 2013, there were no amendments to or waivers of our
Code of Business Ethics and Conduct. If we effect an amendment to, or waiver
from, a provision of our Code of Business Ethics and Conduct, we intend to
satisfy our disclosure requirements by posting a description of such amendment
or waiver on our Internet website at www.bak.com.cn or via a current report on
Form 8-K. A current copy of our Code of Business Ethics and Conduct is posted on
our Internet website at www.bak.com.cn.

Section 16(A) Beneficial Ownership Reporting Compliance

Under U.S. securities laws, directors, certain executive
officers and persons beneficially owning more than 10% of our Common Stock must
report their initial ownership of the Common Stock, and any changes in that
ownership, to the SEC. The SEC has designated specific due dates for these
reports. Based solely on our review of copies of such reports filed with the SEC
and written representations of our directors and executive offers, we believe
that all persons subject to reporting filed the required reports on time in
fiscal year 2013.

|ITEM 11. | EXECUTIVE COMPENSATION.
|-------- | -----------------------

Summary Compensation Table

The following table sets forth information concerning all
compensation awarded to, earned by or paid to the following persons for services
rendered in all capacities during fiscal years 2013 and 2012: Xiangqian Li, our
Chief Executive Officer, President and Chairman, and Kenneth G. Broom, our
former Chief Operating Officer resigned on January 31, 2013. No other executive
officers received total compensation in excess of $100,000 in either fiscal
year.

StockAwards
    
    
    OptionName and Principal Position
    
    Year
    
    
    Salary ($)(1)
    
    
    ($)(2)
    
    
    Awards ($)(2)
    
    
    Total ($)Xiangqian Li, President,
      Chief Executive Officer
    
    2013
    
    
    38,776
    
    
    -
    
    
    -
    
    
    38,7762012
    
    
    37,957
    
    
    -
    
    
    -
    
    
    37,957Kenneth G. Broom, former
      Chief Operating Officer
    
    2013
    
    
    83,333
    
    
    -
    
    
    -
    
    
    83,3332012
    
    
    249,990
    
    
    -
    
    
    -
    
    
    249,990


(1) The amounts reported in this table have been converted from
Renminbi to U.S. dollars based on the average conversion rate between the U.S.
dollar and Renminbi for the applicable fiscal year, or $1.00 to RMB 6.1894
(fiscal year 2013 exchange rate), $1.00 to RMB 6.3374 (fiscal year 2012 exchange
rate), except with respect to the salary payments to Mr. Broom, which payments
were in U.S. dollars.

(2) The amounts represented in the stock and option awards
columns reflect the compensation expense recognized by the Company determined
pursuant to SFAS No. 168 The FASB Accounting Standards CodificationTMand the Hierarchy of Generally Accepted Accounting Principles, a
replacement of FASB Statement No. 162 (SFAS No. 168), as superseded by The
FASB Accounting Standards CodificationTM(ASC), now included in ASC
Topic 718 (ASC 718), and no forfeitures are assumed. The assumptions used to
calculate the value of option and restricted stock awards are set forth under
Note 17 of the Notes to Consolidated Financial Statements of this annual
report.

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Summary of Employment Agreements

The base salary shown in the Summary Compensation Table is described in each named executive officer’s respective employment agreement. The material terms of those employment agreements are summarized below.

With the exception of Mr. Broom, the named executive officers entered into the Company’s standard employment agreement. On December 20, 2006, Shenzhen BAK entered into a non-standard employment agreement with Mr. Broom in connection with his
employment in Canada as Executive Vice President for BAK Canada Ltd. Mr. Broom’s employment agreement entitles him to a grant of 100,000 stock options, an allowance for monthly car expenses, and the cost of legal representation and
indemnification for damages in the event Mr. Broom’s prior employer files any claims or demands against him relating to his employment with the Company. In the event the Company terminates Mr. Broom’s employment without cause prior to
the expiration of the minimum two-year term of the agreement, he is entitled to a lump sum payment or salary continuation equal to the amount he would have received had no termination occurred. Neither the Company nor Mr. Broom has incurred any
legal costs or damages relating to Mr. Broom’s former employment. The compensation terms of Mr. Broom’s agreement have not changed since his appointment as Chief Operating Officer of the Company.

Material Terms of Standard Employment Agreement. We entered into employment agreements with three-year initial terms with our named executive officers with standard employment agreements. We entered into the employment agreement with
Mr. Li on June 30, 2012. Each of our standard employment agreements is automatically extended by a year at the expiration of the initial term and at the expiration of every one-year extension, until terminated in accordance with the termination
provisions of the agreements, which are described below.

Our standard employment agreement permits us to terminate the executive’s employment for cause, at any time, without notice or remuneration, for certain acts of the executive, including but not limited to a conviction or plea of guilty to a
felony, negligence or dishonesty to our detriment and failure to perform agreed duties after a reasonable opportunity to cure the failure. An executive may terminate his employment upon one month’s written notice if there is a material
reduction in his authority, duties and responsibilities or if there is a material reduction in his annual salary before the next annual salary review. Furthermore, we may terminate the executive’s employment at any time without cause by giving
one month’s advance written notice to the executive officer. If we terminate the executive’s employment without cause, the executive will be entitled to a termination payment of up to three months of his or her then base salary,
approximately $2,530 to $9,489, depending on the length of such executive’s employment with us. Specifically, the executive will receive salary continuation for: (i) one month following a termination effective prior to the first
anniversary of the effective date of the employment agreement; (ii) two months following a termination effective prior to the second anniversary of the effective date; and (iii) three months following a termination effective prior to or any time
after the third anniversary of the effective date. The employment agreements provide that the executive will not participate in any severance plan, policy, or program of the Company.

Our standard employment agreement contains customary non-competition, confidentiality, and non-disclosure covenants. Each executive officer has agreed to hold, both during and after the employment agreement expires or is earlier terminated, in
strict confidence and not to use, except as required in the performance of his duties in connection with the employment, any confidential information, technical data, trade secrets and know-how of our company or the confidential information of any
third party, including our affiliated entities and our subsidiaries, received by us. The executive officers have also agreed to disclose in confidence to us all inventions, designs and trade secrets which they conceive, develop or reduce to practice
and to assign all right, title and interest in them to us. In addition, each executive officer has agreed to be bound by non-competition restrictions set forth in his or her employment agreement. Specifically, each executive officer has agreed not
to, while employed by us and for a period of one year following the termination or expiration of the employment agreement,

- approach our clients, customers or contacts or other persons or entities, and not to interfere with the business relationship between us and such persons and/or entities;
- assume employment with or provide services as a director for any of our competitors, or engage in any business which is in direct or indirect competition with our business; or
- solicit the services of any of our employees.

8

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Outstanding Equity Awards at Fiscal Year-End 2013

The following table sets forth the equity awards outstanding at
September 30, 2013 for each of the named executive officers.

Option Awards
    
    
    Stock AwardsMarketNumber of
    
    
    Number of
    
    
    
    
    
    
    
    
    Number of
    
    
    Value ofSecurities
    
    
    Securities
    
    
    
    
    
    
    
    
    Shares or
    
    
    Shares orUnderlying
    
    
    Underlying
    
    
    
    
    
    
    
    
    Units of
    
    
    Units ofUnexercised
    
    
    Unexercised
    
    
    Option
    
    
    
    
    
    Stock That
    
    
    Stock ThatOptions (#)
    
    
    Options (#)
    
    
    Exercise Price
    
    
    Option
    
    
    Have Not
    
    
    Have NotName
    
    Exercisable
    
    
    Unexercisable
    
    
    ($)
    
    
    Expiration Date
    
    
    Vested (#)
    
    
    Vested ($)Xiangqian Li (1)
    
    
    
    
    -
    
    
    -
    
    
    -
    
    
    20,000
    
    
    46,400Kenneth G. Broom (2)
    
    
    
    
    -
    
    
    -
    
    
    -


*All information in and below this table gives retroactive
effect to our one-for-five reverse stock split effected on October 26, 2012.

(1) Mr. Li was granted an option to purchase 216,000 shares of
our common stock on May 29, 2008 under the Stock Option Plan. The option is
subject to a three-year vesting schedule, with the first 1/12 vesting on the
last day of the full fiscal quarter following the date of grant (September 30,
2008), and the remaining 11/12 vesting in eleven equal installments on the last
day of each following fiscal quarter. The exercise price is $20.9. The option
expires on May 28, 2013. Mr. Li was also granted 100,000 restricted shares of
the Companys common stock, par value $0.001, under the Stock Option Plan. The
restricted stock is subject to a five-year vesting schedule. It vests in twenty
equal quarterly installments on the first day of each fiscal quarter beginning
on October 1, 2009.

(2) On June 25, 2007, Mr. Broom was granted an option to
purchase 20,000 shares of Common Stock at a price of $16.34 per share. The
option vests over four years. On January 28, 2008, Mr. Broom was granted an
option to purchase 8,000 shares of Common Stock at a price of $21.5 per share.
All of Mr. Brooms options were terminated and cancelled upon Mr. Brooms
resignation from the Company on January 31, 2013.

Compensation of Directors

Under our Compensation Plan for Non-Employee Directors, or the
Directors Plan, each eligible non-employee director of the Company may receive
an annual retainer fee. Pursuant to the Directors Plan, the annual retainer fee
under the Directors Plan is subject to adjustments determined by our Board from
time to time. Each independent director is also eligible to be granted 5,000
restricted shares of our common stock for serving as a director.

In December 2010, our Board of Directors unanimously approved a
change in the annual retainer fee for independent directors in accordance with
the Directors Plan. Effective January 1, 2011, our independent directors will be
paid an annual retainer fee of $45,000. As was previously our policy, the chair
of the Audit Committee will continue to receive an additional $5,000 in
recognition of the added responsibility of this position. In connection with
this change, the Board unanimously determined that the independent directors
will no longer receive an annual issuance of restricted shares under the
Directors Plan. Each of the independent directors has waived all rights to such
annual issuances, including with respect to 2,500 of the shares that were to be
issued to each of the independent directors during calendar year 2011 in
connection with their grants on July 1, 2010.

Effective October 1, 2012, our independent directors will be
paid an annual retainer fee of $61,000. The chair of the Audit Committee will
receive an additional $9,000 in recognition of the added responsibility of this
position.

In June 2013, due to the current financial situation of the
Company, the independent directors agreed to reduce their annual retainer fee to
$20,000, effective from the quarter ended June 30, 2013.

9

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The following table sets forth the total compensation earned by
our non-employee directors during our fiscal year ended September 30, 2013:

|                                                                                               |  | Fees Earned or         |  |  |                  |  |  |           | 
|---------------------------------------------------------------------------------------------- |  | ---------------------- |  |  | ---------------- |  |  | --------- | 
|Name                                                                                           |  | Paid
      in Cash ($) |  |  | Stock Awards ($) |  |  | Total ($) | 
|Charlene Spoede Budd (resigned on February
      27, 2013)                                     |  | 35,000                 |  |  | -                |  |  | 35,000    | 
|Chunzhi Zhang                                                                                  |  | 40,500                 |  |  | -                |  |  | 40,500    | 
|Martha C. Agee                                                                                 |  | 40,500                 |  |  | -                |  |  | 40,500    | 
|Jonathan Christopher Paugh (appointed on August 6, 2013 and
      resigned on October 3, 2013) |  | -                      |  |  | -                |  |  | -         | 

We do not maintain a medical, dental or retirement benefits
plan for the directors.

We have not compensated, and will not compensate, our
non-independent directors, Mr. Xiangqian Li and Dr. Huanyu Mao, for serving as
our directors, although they are entitled to reimbursements for reasonable
expenses incurred in connection with attending our board meetings.

The directors may determine remuneration to be paid to the
directors with interested members of the Board refraining from voting. The
Compensation Committee will assist the directors in reviewing and approving the
compensation structure for the directors.

|ITEM 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL
      OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS.
|-------- | -----------------------------------------------------------------------------------------------------

Securities Ownership of Certain Beneficial Owners and
Management

The following table sets forth information known to us with
respect to the beneficial ownership of our Common Stock as of the close of
business on January 24, 2014 (the Reference Date) for: (i) each person known
by us to beneficially own more than 5% of our voting securities, (ii) each named
executive officer, (iii) each of our directors and nominees, and (iv) all of our
executive officers and directors as a group:

|Names of Management and Names and
      Addresses                 |  | Amount and Nature
      of | 
|----------------------------------------------------------------- |  | -------------------------- | 
|of Certain Beneficial Owners(1)                                   |  | Beneficial Ownership(1)    | 
|                                                                  |  | Number(2)                  | 
|Xiangqian Li (4)                                                  |  |                            | 
|c/o China BAK Battery, Inc.                                       |  |                            | 
|BAK Industrial Park                                               |  |                            | 
|No. 1 BAK Street                                                  |  |                            | 
|Kuichong Town, Longgang
      District                            |  |                            | 
|Shenzhen 518119, Peoples
      Republic of China                 |  | 3,900,778                  | 
|Huanyu Mao (5)                                                    |  | 69,961                     | 
|Chunzhi Zhang (6)                                                 |  | 3,500                      | 
|Martha C. Agee                                                    |  | -                          | 
|Jianjun He                                                        |  | -                          | 
|All executive officers and
      directors as a group (5 persons) |  | 3,974,239                  | 

* Denotes less than 1% of the outstanding shares of Common
Stock.

10

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|** | All information in and below this table gives retroactive effect to our one-for-five reverse stock split effected on October 26, 2012.
|-- | --------------------------------------------------------------------------------------------------------------------------------------

|(1) | The number of shares beneficially owned is determined under Securities and Exchange Commission (“SEC”) rules, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under those
rules, beneficial ownership includes any shares as to which the individual has sole or shared voting power or investment power, and also any shares which the individual has the right to acquire within 60 days of the Reference Date, through the
exercise or conversion of any stock option, convertible security, warrant or other right (a “Presently Exercisable” security). Including those shares in the table does not, however, constitute an admission that the named stockholder is a
direct or indirect beneficial owner of those shares.                                                                                                                                                                                                                                                                                        
|--- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
|    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          
|(2) | Unless otherwise indicated, each person or entity named in the table has sole voting power and investment power (or shares that power with that person’s spouse) with respect to all shares of Common Stock listed as owned by
that person or entity.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    
|    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          
|(3) | A total of 12,619,597 shares of Common Stock are considered to be outstanding on the Reference Date. For each beneficial owner above, any Presently Exercisable securities of such beneficial owner have been included in the
denominator, pursuant to Rule 13d-3(d)(1) under the Securities Exchange Act of 1934, as amended, or the Exchange Act.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      
|    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          
|(4) | Including 100,000 restricted shares of the Common Stock granted under the Stock Option Plan on June 22, 2009, which restricted stock is subject to a five-year vesting schedule. It vests in twenty equal quarterly installments on
the first day of each fiscal quarter beginning on October 1, 2009.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   
|    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          
|(5) | Including an option granted on April 8, 2010 to purchase 20,000 shares of Common Stock, at a price of $12.15 per share, which option vests over two years.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               
|    |                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          
|(6) | On June 25, 2007, Mr. Zhang was granted 1,000 shares of restricted Common Stock. On August 6, 2008, Mr. Zhang was granted an additional 1,000 shares of restricted Common Stock on the same terms as those governing the June 25, 2007
grant. On June 26, 2009, Mr. Zhang was granted an additional 1,000 shares of restricted Common Stock, on the same terms as those governing the June 25, 2007 and August 6, 2008 grants. On July 1, 2010, Mr. Zhang was granted an additional 1,000 shares
of restricted Common Stock on the same terms as those governing the June 25, 2007, August 6, 2008, and June 26, 2009 grants. On January 19, 2011, Mr. Zhang waived the receipt of 500 shares of the July 1, 2010 grant in consideration of an additional
quarterly payment by the Company of $6,250 on or about January 6, 2011 pursuant to the increase, effective January 1, 2011, of each of the directors’ annual retainer fee under the Company’s Stock Option Plan by $25,000 in lieu of
each director’s receipt of restricted shares under the Stock Option Plan.

Changes in Control

There are no arrangements known to us, including any pledge by any person of our securities, the operation of which may at a subsequent date result in a change in control of the Company.

Securities Authorized for Issuance Under Equity Compensation Plans

The following table sets forth certain information about the securities authorized for issuance under our Stock Option Plan and our Compensation Plan for Non-Employee Directors as of September 30, 2013. Options exercisable for all of the securities
shown in column (a) below were granted under our Stock Option Plan.

11

---

Number of securities to be issued upon exercise of outstanding
      options, warrants and rights (a)
    
    
    Weighted-average exercise price of outstanding options,
      warrants and rights (b)
    
    
    Number of securities remaining available for future issuance
      under equity compensation plans (excluding securities reflected in column
      (a)) (c)Equity compensation plans
      approved by security holders
    
    156,560
    
    $
    13.8
    
    
    222,401
    (1)Equity compensation plans not approved by
      security holders
    
    -
    
    
    -
    
    
    -Total
    
    156,560
    
    $
    13.8
    
    
    222,401
    (1)


*All information in and below this table gives retroactive
effect to our one-for-five reverse stock split effected on October 26, 2012.

(1) Includes 86,500 shares of restricted stock that were
available for future issuance under our Compensation Plan for Non-Employee
Directors and 135,901 shares of restricted stock that were available for future
issuance under our Stock Option Plan, as of September 30, 2013.

|ITEM 13. | CERTAIN RELATIONSHIPS AND RELATED
      TRANSACTIONS, AND DIRECTOR INDEPENDENCE.
|-------- | --------------------------------------------------------------------------------

Transactions with Related Persons

We have several outstanding credit facilities and lines of
credit primarily from (i) Agricultural Bank of China, (ii) Bank of China, (iii)
Bank of Dalian, (iv) Ping An Bank and (v) China CITIC Bank, the proceeds of
which were used primarily to fund the operations of our manufacturing facilities
located at the BAK Industrial Park in Shenzhen and Tianjin and for general
working capital requirements. As of September 30, 2013, we had short-term bank
loans of $151.4 million, and bills payable of $41.4 million. The short-term
loans bore interest rates ranging from 4.4% to 15.0% per annum, and had maturity
dates ranging from two to six months. The loans are guaranteed by BAK
International, BAK Tianjin, Shenzhen BAK, Tianjin BAK New Energy Research
Institute Co., Ltd (Tianjin New Energy), common shareholder and director of
the Company, Mr. Xiangqian Li, our CEO, and Ms. Xiaoqiu Yu, the wife of our CEO,
who did not receive and are not entitled to receive any consideration for acting
as a guarantor. We are not independently obligated to indemnify any of those
guarantors for any amounts paid by them pursuant to any guarantee.

On December 28, 2011, Shenzhen BAK entered into a loan
agreement with Shenzhen BAK Haoze Investment Co., Ltd. (Shenzhen Haoze), under
which Shenzhen Haoze extended a loan in an amount RMB1,750,000 ($278,410) to
Shenzhen BAK as working capital, which loan is non-interest bearing and
unsecured. The loan matures on December 27, 2013. Shenzhen Haoze is a company
established in China and mainly engages in the business of industry investment
and investment consultation. Approximately 96 percent of equity interest in
Shenzhen Haoze is currently owned by Mr. Xiangqian Li. As of September 30, 2013,
Shenzhen BAK had paid off the above loan.

On July 2, 2012, Shenzhen BAK entered into a loan agreement
with Tianjin BAK New Energy Research Institute Co., Ltd. (Tianjin New Energy),
under which Tianjin New Energy extended a loan in an amount of RMB10,000,000
($1,590,913) to Shenzhen BAK as working capital, which loan is non-interest
bearing and unsecured. The loan matures on July 11, 2014. As of September 30,
2013, Shenzhen BAK had paid off the rest of the above loans. Approximately 59
percent of equity interest in Tianjin New Energy is currently owned by Mr. Li.
Tianjin New Energy is a company established in China and mainly engages in the
business of researching, developing and selling new energy related materials. It
is not engaged in the business that competes with the Company and did not have
any transactions with the Company except for the guarantee relationship between
them and short-term advances explained herewith.

12

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On March 24, 2011, Shenzhen BAK entered into a guarantee
agreement with Jilin Province Trust & Investment Co., Ltd. (Jilin Trust
& Investment), under which Shenzhen BAK agreed to guarantee a loan of
Tianjin New Energy, in a total amount of RMB 50,700,000 (approximately $8.1
million) that it borrowed from Jilin Trust & Investment. In addition, Mr. Li
and his wife entered into a guarantee agreement with Jilin Trust &
Investment under which they pledged all of their personal assets to Jilin Trust
& Investment to provide unlimited liability guarantees for the loan. As of
September 30, 2013, Tianjin New Energy has paid off the above loans and the
guarantee upon the loan had been terminated accordingly.

On July 2, 2012, Shenzhen BAK also entered into a guarantee
agreement with Bank of Dalian, under which Shenzhen BAK agreed to guarantee a
loan of Tianjin New Energy in a total amount of RMB20,000,000 (approximately
$3.2 million) that it borrowed from Bank of Dalian. In addition, Mr. Li entered
into a guarantee agreement with Bank of Dalian and assumed joint and several
liabilities to guarantee the loan.

On October 15, 2012, Shenzhen BAK also entered into guarantee
agreements with Bank of Dalian, under which Shenzhen BAK agreed to guarantee the
banking facilities of Tianjin New Energy in a total amount of RMB10,000,000
(approximately $1.6 million) that it borrowed from Bank of Dalian. In addition,
Mr. Li, and Ms. Yu entered into a guarantee agreement with Bank of Dalian and
assumes joint and several liabilities to guarantee the loan.

On July 11, 2013, Shenzhen BAK executed a new guarantee
agreement with Bank of Dalian with the same terms and conditions to guarantee
the above loans of RMB30 million (approximately $4.9 million) for a period from
July 11, 2013 to July 10, 2016. This new guarantee agreement supersedes the
above two guarantee agreements.

On October 15, 2012, Shenzhen BAK entered into a loan agreement
with Tianjin New Energy, under which Tianjin New Energy extended a loan in an
amount of RMB8,600,000 ($1,368,185) to Shenzhen BAK as working capital, which
loan is non-interest bearing, unsecured and repayable on demand. As of October
15, 2012, the total amount of non-interest loans between Shenzhen BAK and
Tianjin New Energy was RMB11,838,794 ($1,899,891). As of September 30, 2013,
Shenzhen BAK had paid off this loan.

As of September 30, 2013, Shenzhen BAK and Tianjin BAK advanced
to Tianjin New Energy an aggregate amount of $885,052, which was interest-free,
unsecured and repayable on demand.

Shenzhen BAK believes that Tianjin New Energy owns sufficient
assets, including buildings measuring 24,000 square meters and land use rights
over a parcel of land of 233,450 square meters, to repay the above RMB
30,000,000 loans to Bank of Dalian without incurring Shenzhen BAKs guarantor
liability.

Promoters and Certain Control Persons

We did not have any promoters at any time during the past five
fiscal years.

Director Independence

Chunzhi Zhang, Martha C. Agee and Jianjun He each serves on our
board of directors as an independent director as defined by Rule 5605(a)(2) of
the NASDAQ Listing Rule.

|ITEM 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES.
|-------- | ---------------------------------------

Independent Registered Public Accounting Firms Fees and
Services

Audit Fees

PKF has billed us $234,500 and $143,000, in the aggregate, for
the fiscal years ended September 30, 2012 and 2013, respectively for
professional services rendered to audit our annual financial statements, and to
review the interim financial statements included in our quarterly reports on
Form 10-Q filed during fiscal year 2012.

Crowe Horwath (HK) CPA Limited (Crowe Horwath) has billed us
nil and $102,000 in the aggregate for the fiscal years ended September 30, 2012
and 2013, respectively for professional services rendered for the audit of our
fiscal year 2013 annual financial statements, including reviews of the interim
financial statements included in our quarterly reports on Form 10-Q and
assistance with the Securities Act filings.

13

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Audit-Related Fees

PKF billed us $11,128 and nil, in the aggregate, for providing
consent related to our annual report on Form 10-K filed during the fiscal years
ended September 30, 2012 and 2013, respectively.

We did not engage Crowe Horwath to provide assurance or related
services during the last two fiscal years.

Tax Fees

We did not engage our principal accountants to provide tax
compliance, tax advice or tax planning services during the last two fiscal
years.

All Other Fees

We did not engage our principal accountants to render services
to us during the last two fiscal years, other than as reported above.

Pre-Approval Policies and Procedures

All auditing services and permitted non-audit services
(including the fees and terms thereof) to be performed for the Company by our
independent auditor must be approved by the Audit Committee in advance, except
non-audit services (other than review and attestation services) if such services
fall within exceptions established by the SEC. The Audit Committee will
pre-approve any permissible non-audit services to be provided by the Companys
independent auditors on behalf of the Company that do not fall within any
exception to the pre-approval requirements established by the SEC. The Audit
Committee may delegate to one or more members the authority to pre-approve
permissible non-audit services, but any such delegate or delegates must present
their pre-approval decisions to the Audit Committee at its next meeting. All of
our accountants services described above were pre-approved by the Audit
Committee or by one or more members under the delegate authority described
above.

PART IV

|ITEM 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES.
|-------- | ----------------------------------------

Exhibit List

The list of exhibits in the Exhibit Index to this Report is
incorporated herein by reference.

14

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SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the
Securities Exchange Act of 1934, the registrant has duly caused this report to
be signed on its behalf by the undersigned, thereunto duly authorized.

Date: January 27, 2014

| | CHINA BAK BATTERY, INC.
| | -----------------------
| |                        
| | By:                    
| |                        
| |                        

In accordance with the Securities Exchange Act of 1934, this
report has been signed below by the following persons on behalf of the
Registrant and in the capacities and on the dates indicated.

|Signature          |  | Title                                                                           | Date            
|------------------ |  | ------------------------------------------------------------------------------- | ----------------
|                   |  |                                                                                 |                 
|/s/ Xiangqian Li   |  | Chairman, Chief Executive Officer and Interim
      Chief Financial Officer     | January 27, 2014
|Xiangqian Li       |  | (Principal Executive Officer, Principal
      Financial and Accounting Officer) |                 
|                   |  |                                                                                 |                 
|                   |  |                                                                                 |                 
|/s/ Huanyu Mao     |  | Director                                                                        | January 27, 2014
|Huanyu Mao         |  |                                                                                 |                 
|                   |  |                                                                                 |                 
|/s/ Chunzhi Zhang  |  | Director                                                                        | January 27, 2014
|Chunzhi Zhang      |  |                                                                                 |                 
|                   |  |                                                                                 |                 
|/s/ Martha C. Agee |  | Director                                                                        | January 27, 2014
|Martha C. Agee     |  |                                                                                 |                 
|                   |  |                                                                                 |                 
|/s/ Jianjun He     |  | Director                                                                        | January 27, 2014
|Jianjun He         |  |                                                                                 |                 

---

EXHIBIT INDEX

|Exhibit No. |  | Description                                                                                                                                          
|----------- |  | -----------------------------------------------------------------------------------------------------------------------------------------------------
|31.1*       |  | Certifications
      of Chief Executive Officer and Interim Chief Financial Officer Pursuant to
      Section 302 of the Sarbanes-Oxley Act of 2002  
|32.1*       |  | Certifications
      of Chief Executive Officer and Interim Chief Financial Officer Pursuant to
      Section 906 of the Sarbanes-Oxley Act of
  2002

* Filed herewith

---