6-K - NVX - Equibles

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 June, 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 2A (Application for Quotation of Securities) dated June 29, 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: June 30, 2023

EX-99.1

Application for quotation of +securities

EXHIBIT 99.1

Announcement Summary

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Thursday June 29, 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	39,515 29/06/2023

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

29/6/2023

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<br><br>+convertible securities that were converted	The first date the options were exercised or other +convertible securities were converted	The last date the options were exercised or other +convertible securities were converted
77,024	29/6/2023	29/6/2023

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)?

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?

Issue date

29/6/2023

Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued

+securities in that class?

Yes

Application for quotation of +securities	4 / 6

Application for quotation of +securities

Issue details

Number of +securities to be quoted

39,515

Are the +securities being issued for a cash consideration?

Please describe the consideration being provided for the +securities

Vesting of performance rights issued under 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

0.950000

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	486,947,711

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	14,498,289
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
---	---