6-K
NOVONIX Ltd (NVX)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE
SECURITIES EXCHANGE ACT OF 1934
For the month of July, 2023
| 001-41208 |
|---|
| (Commission File Number) |
NOVONIX LIMITED
(Translation of registrant’s name into English)
Level 38
71 Eagle Street
Brisbane, QLD 4000 Australia
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20‑F or Form 40‑F.
Form 20-F ☒ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ☐
EXHIBIT INDEX
Exhibit No. Description
Exhibit 99.1 Appendix 3G (Notification of Issue, Conversion or Payment up of Unquoted Equity Securities) dated July 21, 2023
Exhibit 99.2 Appendix 2A (Application for Quotation of Securities) dated July 21, 2023
Exhibit 99.3 Appendix 3H (Notification of Cessation of Securities) dated July 21, 2023
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| NOVONIX LIMITED<br><br><br><br><br><br>By: /s/ Dr. John Christopher Burns<br><br>Dr. John Christopher Burns<br><br>Chief Executive Officer |
|---|
Date: July 21, 2023
EX-99.1
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
|---|
EXHIBIT 99.1
Announcement Summary
Entity name
NOVONIX LIMITED
Date of this announcement
Friday July 21, 2023
The +securities the subject of this notification are:
+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
Total number of +securities to be issued/transferred
| ASX +security code | Security description | Total number of<br><br>+securities to be<br><br>issued/transferred | Issue date |
|---|---|---|---|
| NVXAD | PERFORMANCE RIGHTS | 78,618 | 21/07/2023 |
Refer to next page for full details of the announcement
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 1 / 6 |
|---|---|
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | |
| --- |
Part 1 - Entity and announcement details
| 1.1 Name of entity | |
|---|---|
| NOVONIX LIMITED | |
| We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities. | |
| 1.2 Registered number type | Registration number |
| ABN | 54157690830 |
| 1.3 ASX issuer code | |
| NVX | |
| 1.4 The announcement is | |
 New announcement |
|
| 1.5 Date of this announcement | |
| 21/7/2023 | |
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 2 / 6 |
| --- | --- |
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | |
| --- | |
| Part 2 - Issue details | |
| --- | |
| 2.1 The +securities the subject of this notification are: | |
| --- | |
| +Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX |
|
| 2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which: | |
 has an existing ASX security code ("existing class") |
|
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 3 / 6 |
| --- | --- |
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | |
| --- |
Part 3B - number and type of +securities the subject of this notification (existing class) where issue has not previously been notified to ASX in an Appendix 3B
ASX +security code and description
NVXAD : PERFORMANCE RIGHTS
Date the +securities the subject of this notification were issued
21/7/2023
Will these +securities rank equally in all respects from their issue date with the existing issued
+securities in that class
Yes
Were any of the +securities issued to +key management personnel (KMP) or an +associate?
No
Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms
| https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02572548-2A1400747?access_token=8 3ff96335c2d45a094df02a206a39ff4 |
|---|
Any other information the entity wishes to provide about the +securities the subject of this notification
Issue details
Number of +securities
78,618
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 4 / 6 |
|---|---|
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | |
| --- |
Part 4 - +Securities on issue
Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:
(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)
4.1 Quoted +Securities (Total number of each +class of +securities quoted)
| Total number of | |
|---|---|
| ASX +security code and description | +securities on issue |
| NVX : ORDINARY FULLY PAID | 486,947,711 |
4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)
| Total number of | |
|---|---|
| ASX +security code and description | +securities on issue |
| NVXAD : PERFORMANCE RIGHTS | 14,614,004 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,860,001 |
| NVXAK : SHARE RIGHTS | 436,403 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 5 / 6 |
| --- | --- |
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | |
| --- |
Part 5 - Other Listing Rule requirements
5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?
Yes
5.1a Select the number of the applicable exception in Listing Rule 7.2
13
| Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 6 / 6 |
|---|
EX-99.2
| Application for quotation of +securities |
|---|
EXHIBIT 99.2
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Friday July 21, 2023
The +securities to be quoted are:
+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted
Total number of +securities to be quoted
| ASX +security code | Security description | Number of +securities to be quoted | Issue date |
|---|---|---|---|
| NVX | ORDINARY FULLY PAID | 314,276 | 21/07/2023 |
Refer to next page for full details of the announcement
| Application for quotation of +securities | 1 / 6 |
|---|---|
| Application for quotation of +securities | |
| --- |
Part 1 - Entity and announcement details
| 1.1 Name of entity | |
|---|---|
| NOVONIX LIMITED | |
| We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules. | |
| 1.2 Registered number type | Registration number |
| ABN | 54157690830 |
| 1.3 ASX issuer code | |
| NVX | |
| 1.4 The announcement is | |
 New announcement |
|
| 1.5 Date of this announcement | |
| 21/7/2023 | |
| Application for quotation of +securities | 2 / 6 |
| --- | --- |
| Application for quotation of +securities | |
| --- |
Part 2 - Type of Issue
2.1 The +securities to be quoted are:
+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted
2.2 The +securities to be quoted are:
Additional +securities in a class that is already quoted on ASX ("existing class")
| Application for quotation of +securities | 3 / 6 |
|---|---|
| Application for quotation of +securities | |
| --- | |
| Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B | |
| --- |
Existing +securities converting into additional +securities in an existing class
FROM (Existing Class)
ASX +security code and description
NVXAD : PERFORMANCE RIGHTS
TO (Existing Class)
ASX +security code and description
NVX : ORDINARY FULLY PAID
| Please state the number of options that were exercised or other +convertible securities that were converted<br><br>558,438 | The first date the options were exercised or other +convertible securities were converted<br><br>21/7/2023 | The last date the options were exercised or other +convertible securities were converted<br><br>21/7/2023 |
|---|
Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)?
No
The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by:
An issue of new +securities
The underlying securities being received by the holder are:
Intended to be, but are not yet, quoted by ASX
Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme?
Yes
Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate?
Yes
Provide details of the KMP or +associates who are exercising options or converting convertible securities
| Name of KMP | Name of registered holder | Number of options being exercised or other +convertible securities being converted |
|---|---|---|
| Rashda Buttar | Rashda Buttar | 120,610 |
| Application for quotation of +securities | 4 / 6 | |
| --- | --- | |
| Application for quotation of +securities | ||
| --- |
Issue date
21/7/2023
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
+securities in that class?
Yes
Issue details
Number of +securities to be quoted
314,276
Are the +securities being issued for a cash consideration?
No
| Please describe the consideration being provided for the +securities |
|---|
| Shares issued on vesting of performance rights granted as part of employee remuneration packages. |
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the
+securities to be quoted
1.005000
| Any other information the entity wishes to provide about the +securities to be quoted | |
|---|---|
| Application for quotation of +securities | 5 / 6 |
| --- | --- |
| Application for quotation of +securities | |
| --- |
Part 4 - Issued capital following quotation
Following the quotation of the +securities the subject of this application, the issued capital of the entity will comprise:
(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)
4.1 Quoted +securities (total number of each +class of +securities quoted on ASX following the +quotation of the +securities subject of this application)
| ASX +security code and description | Total number of<br><br>+securities on issue |
|---|---|
| NVX : ORDINARY FULLY PAID | 487,261,987 |
4.2 Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)
| ASX +security code and description | Total number of<br><br>+securities on issue |
|---|---|
| NVXAD : PERFORMANCE RIGHTS | 13,976,948 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,860,001 |
| NVXAK : SHARE RIGHTS | 436,403 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Application for quotation of +securities | 6 / 6 |
| --- | --- |
EX-99.3
| Notification of cessation of +securities |
|---|
EXHIBIT 99.3
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Friday July 21, 2023
Details of +securities that have ceased
| ASX +security<br><br>code | Security description | Number of<br><br>+securities that The +securities have<br><br>have ceased ceased due to | Date of<br><br>cessation | |
|---|---|---|---|---|
| NVXAD | PERFORMANCE RIGHTS | 43,653 | Lapse of conditional right to<br><br>securities because the<br><br>conditions have not been, or<br><br>have become incapable of<br><br>being, satisfied | 21/07/2023 |
Refer to next page for full details of the announcement
| Notification of cessation of +securities | 1 / 4 |
|---|---|
| Notification of cessation of +securities | |
| --- | |
| Part 1 - Announcement Details | |
| --- | |
| 1.1 Name of +Entity | |
| --- | --- |
| NOVONIX LIMITED | |
| We (the entity named above) provide the following information about our issued capital. | |
| 1.2 Registered Number Type | Registration Number |
| ABN | 54157690830 |
| 1.3 ASX issuer code | |
| NVX | |
| 1.4 The announcement is | |
 New announcement |
|
| 1.5 Date of this announcement | |
| 21/7/2023 | |
| Notification of cessation of +securities | 2 / 4 |
| --- | --- |
| Notification of cessation of +securities | |
| --- |
Part 2 - Details of +equity securities or +debt securities that have ceased
ASX +Security Code and Description
NVXAD : PERFORMANCE RIGHTS
Unquoted +equity securities that have ceased
Number of securities that have ceased
43,653
Reason for cessation
Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied
| Date of cessation | Is the entity paying any consideration for the cessation? |
|---|---|
| 21/7/2023 |  No |
| Any other information the entity wishes to notify to ASX about the cessation? | |
| --- | |
| Forfeiture of employee performance rights on cessation of employment. | |
| Notification of cessation of +securities | 3 / 4 |
| --- | --- |
| Notification of cessation of +securities | |
| --- | |
| Part 3 - Issued capital following changes | |
| --- |
Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:
3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)
| ASX +security code and description | Total number of<br><br>+securities on issue |
|---|---|
| NVX : ORDINARY FULLY PAID | 486,947,711 |
3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)
| ASX +security code and description | Total number of<br><br>+securities on issue |
|---|---|
| NVXAD : PERFORMANCE RIGHTS | 14,491,733 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,860,001 |
| NVXAK : SHARE RIGHTS | 436,403 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.
| Notification of cessation of +securities | 4 / 4 |
|---|