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 April, 2024
| 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 3Z (Final Director’s Interest Notice) filed April 18, 2024
Exhibit 99.2 Appendix 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated April 18, 2024
Exhibit 99.3 Appendix 2A (Application for quotation of securities) dated April 18, 2024
Exhibit 99.4 Appendix 2A (Application for quotation of securities) dated April 19, 2024
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: April 19, 2024
EX-99.1
Appendix 3Z
Final Director’s Interest Notice
EXHIBIT 99.1
Rule 3.19A.3
Appendix 3Z
Final Director’s Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001.
| Name of entity NOVONIX LIMITED |
|---|
| ABN 54 157 690 830 |
We (the entity) give ASX the following information under listing rule 3.19A.3 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of director | ANDREW LIVERIS |
|---|---|
| Date of last notice | 21 SEPTEMBER 2023 |
| Date that director ceased to be director | 17 APRIL 2024 |
Part 1 – Director’s relevant interests in securities of which the director is the registered holder
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Number & class of securities<br><br><br><br>5,135,995 ordinary shares<br><br>9,000,000 options over ordinary shares |
|---|
- See chapter 19 for defined terms.
11/3/2002 Appendix 3Z Page 1
Appendix 3Z
Final Director’s Interest Notice
Part 2 – Director’s relevant interests in securities of which the director is not the registered holder
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
| Name of holder & nature of interest<br><br>Note: Provide details of the circumstances giving rise to the relevant interest<br><br><br><br>Interests in shares are held by Mutual Trust Pty Ltd who manage Mr Liveris’ investment.<br><br><br><br>Interests in options over ordinary shares are held by Lapana Pty Ltd, a company that Mr Liveris is a director and shareholder. | Number & class of securities<br><br><br><br><br><br><br><br>4,132,794 ordinary shares (Mutual Trust Pty Ltd)<br><br><br><br><br><br><br><br>360,000 ordinary shares (Lapana Pty Ltd) |
|---|
Part 3 – Director’s interests in contracts
| Detail of contract | N/A |
|---|---|
| Nature of interest | |
| Name of registered holder<br><br>(if issued securities) | |
| No. and class of securities to which interest relates |
- See chapter 19 for defined terms.
Appendix 3Z Page 2 11/3/2002
EX-99.2
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
|---|
EXHIBIT 99.2
Announcement Summary
Entity name
NOVONIX LIMITED
Date of this announcement
Thursday April 18, 2024
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 <br> code | Security description | Total number of <br>+securities to be <br>issued/transferred | Issue date |
|---|---|---|---|
| NVXAD | PERFORMANCE RIGHTS | 17,195 | 18/04/2024 |
Refer to next page for full details of the announcement
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 1 / 6 |
|---|---|
| Appendix 3G - 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 |
|---|---|
| ACN | 157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
18/4/2024
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 2 / 6 |
|---|---|
| Appendix 3G - 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")
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 3 / 6 |
|---|---|
| Appendix 3G - 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
18/4/2024
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 |
|---|
Any other information the entity wishes to provide about the +securities the subject of this notification
Issue details
Number of +securities
17,195
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 4 / 6 |
|---|---|
| Appendix 3G - 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 notification, the +securities of the entity will comprise:
The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are currently with ASX for processing.
4.1 Quoted +securities (Total number of each +class of +securities issued and quoted on ASX)
| ASX +security code and description | Total number of<br><br>+securities on issue |
|---|---|
| NVX : ORDINARY FULLY PAID | 488,869,632 |
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 | 19,397,886 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,200,001 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 5 / 6 |
| --- | --- |
| Appendix 3G - 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
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 6 / 6 |
|---|
EX-99.3
| Appendix 2A - Application for quotation of securities |
|---|
EXHIBIT 99.3
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Thursday April 18, 2024
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 | Number of +securities to | |
|---|---|---|
| code | Security description | be quoted Issue date |
| NVX | ORDINARY FULLY PAID | 33,334 18/04/2024 |
Refer to next page for full details of the announcement
| Appendix 2A - Application for quotation of securities | 1 / 6 |
|---|---|
| Appendix 2A - 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 |
|---|---|
| ACN | 157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
18/4/2024
| Appendix 2A - Application for quotation of securities | 2 / 6 |
|---|---|
| Appendix 2A - 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 +class of +securities to be quoted is:
Additional +securities in a class that is already quoted on ASX ("existing class")
| Appendix 2A - Application for quotation of securities | 3 / 6 |
|---|---|
| Appendix 2A - 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
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES
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>33,334 | The first date the options were exercised or other +convertible securities were converted<br><br>18/4/2024 | The last date the options were exercised or other +convertible securities were converted<br><br>18/4/2024 |
|---|
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?
No
Issue date
18/4/2024
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
+securities in that class?
Yes
| Appendix 2A - Application for quotation of securities | 4 / 6 |
|---|---|
| Appendix 2A - Application for quotation of securities | |
| --- |
Issue details
Number of +securities to be quoted
33,334
Are the +securities being issued for a cash consideration?
Yes
| In what currency is the cash consideration being paid? | What is the issue price per +security? |
|---|---|
| AUD - Australian Dollar | AUD 0.50000000 |
Any other information the entity wishes to provide about the +securities to be quoted
| Appendix 2A - Application for quotation of securities | 5 / 6 |
|---|---|
| Appendix 2A - 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:
The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are 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 | 488,902,966 |
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 | 19,380,691 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,166,667 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Appendix 2A - Application for quotation of securities | 6 / 6 |
| --- | --- |
EX-99.4
| Appendix 2A - Application for quotation of securities |
|---|
EXHIBIT 99.4
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Friday April 19, 2024
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 | Number of +securities to | |
|---|---|---|
| code | Security description | be quoted Issue date |
| NVX | ORDINARY FULLY PAID | 9,041 19/04/2024 |
Refer to next page for full details of the announcement
| Appendix 2A - Application for quotation of securities | 1 / 6 |
|---|---|
| Appendix 2A - 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 |
|---|---|
| ACN | 157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
19/4/2024
| Appendix 2A - Application for quotation of securities | 2 / 6 |
|---|---|
| Appendix 2A - 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 +class of +securities to be quoted is:
Additional +securities in a class that is already quoted on ASX ("existing class")
| Appendix 2A - Application for quotation of securities | 3 / 6 |
|---|---|
| Appendix 2A - 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 <br>that were exercised or other<br>+convertible securities that were <br>converted<br><br>14,273 | The first date the options were <br>exercised or other +convertible <br>securities were converted<br><br>19/4/2024 | The last date the options were <br>exercised or other +convertible<br>securities were converted<br><br>19/4/2024 |
|---|
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?
No
Issue date
19/4/2024
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
+securities in that class?
Yes
| Appendix 2A - Application for quotation of securities | 4 / 6 |
|---|---|
| Appendix 2A - Application for quotation of securities | |
| --- |
Issue details
Number of +securities to be quoted
9,041
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 held by employees as part of their remuneration arrangements. |
|---|
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the
+securities to be quoted
0.930000
Any other information the entity wishes to provide about the +securities to be quoted
| Appendix 2A - Application for quotation of securities | 5 / 6 |
|---|---|
| Appendix 2A - 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:
The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are 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 | 488,878,673 |
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 | 19,383,613 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,200,001 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Appendix 2A - Application for quotation of securities | 6 / 6 |
| --- | --- |