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 September, 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 3Y (Change of Director’s Interest Notice) filed September 23, 2024
Exhibit 99.2 Appendix 2A (Application for quotation of securities) dated September 24, 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: September 24, 2024
EX-99.1
Appendix 3Y Change of Director’s Interest Notice
EXHIBIT 99.1
Rule 3.19A.2
Appendix 3Y
Change of 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 30/09/01 Amended 01/01/11
| Name of entity NOVONIX LIMITED |
|---|
| ABN 54 157 690 830 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director | NICHOLAS LIVERIS |
|---|---|
| Date of last notice | 18 September 2024 |
Part 1 - Change of director’s relevant interests in securities
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.
| Direct or indirect interest | DIRECT |
|---|---|
| Nature of indirect interest (including registered holder)<br><br>Note: Provide details of the circumstances giving rise to the relevant interest. | N/A |
| Date of change | 18 & 19 September 2024 |
| No. of securities held prior to change | 1,517,486 Ordinary shares |
| Class | Ordinary shares |
| Number acquired | N/A |
| Number disposed | 122,805 ordinary shares |
| Value/Consideration<br><br>Note: If consideration is non-cash, provide details and estimated valuation | $67,229.35 |
- See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director’s Interest Notice
| No. of securities held after change | 1,394,681 Ordinary shares |
|---|---|
| Nature of change<br><br>Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back | On-market trade |
Part 2 – Change of director’s interests in contracts
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.
| Detail of contract | N/A |
|---|---|
| Nature of interest | |
| Name of registered holder (if issued securities) | |
| Date of change | |
| No. and class of securities to which interest related prior to change<br><br>Note: Details are only required for a contract in relation to which the interest has changed | |
| Interest acquired | |
| Interest disposed | |
| Value/Consideration<br><br>Note: If consideration is non-cash, provide details and an estimated valuation | |
| Interest after change |
- See chapter 19 for defined terms.
Appendix 3Y Page 2 01/01/2011
Appendix 3Y Change of Director’s Interest Notice
Part 3 – +Closed period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No. |
|---|---|
| If so, was prior written clearance provided to allow the trade to proceed during this period? | |
| If prior written clearance was provided, on what date was this provided? |
- See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 3
EX-99.2
| Appendix 2A - Application for quotation of securities |
|---|
EXHIBIT 99.2
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Tuesday September 24, 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 | 33,193 24/09/2024 |
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
24/9/2024
| 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 that were exercised or other<br><br>+convertible securities that were converted<br><br>53,783 | The first date the options were exercised or other +convertible securities were converted<br><br>24/9/2024 | The last date the options were exercised or other +convertible securities were converted<br><br>24/9/2024 |
|---|
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
24/9/2024
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
33,193
Are the +securities being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
| Shares issued on vesting of employee performance rights. |
|---|
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the
+securities to be quoted
0.525000
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 | 493,746,995 |
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 | 20,256,676 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 13,666,667 |
| NVXAG : SHARE RIGHTS | 632,890 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Appendix 2A - Application for quotation of securities | 6 / 6 |
| --- | --- |