NOVONIX Ltd 6-K, filed Mar 15, 2024
NOVONIX Ltd (NVX)
About this 6-K
NOVONIX Ltd filed this 6-K on March 15, 2024.
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 March, 2024
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001-41208 |
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(Commission File Number) |
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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 March 14, 2024
Exhibit 99.2 Appendix 3H (Notification of of Cessation of Securities) dated March 14, 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
By: /s/ Dr. John Christopher Burns Dr. John Christopher Burns Chief Executive Officer |
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Date: March 15, 2024
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Appendix 2A - Application for quotation of securities |
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EXHIBIT 99.1
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Thursday March 14, 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
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ASX +security |
Security description |
Number of +securities to |
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Issue date |
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NVX |
ORDINARY FULLY PAID |
3,841 |
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14/03/2024 |
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Refer to next page for full details of the announcement
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Appendix 2A - Application for quotation of securities |
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Appendix 2A - Application for quotation of securities |
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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 |
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ABN |
54157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
14/3/2024
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Appendix 2A - Application for quotation of securities |
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Appendix 2A - Application for quotation of securities |
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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")
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Appendix 2A - Application for quotation of securities |
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Appendix 2A - Application for quotation of securities |
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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 8,352 |
The first date the options were exercised or other +convertible securities were converted 14/3/2024 |
The last date the options were exercised or other +convertible securities were converted 14/3/2024 |
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
14/3/2024
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
+securities in that class?
Yes
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Appendix 2A - Application for quotation of securities |
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Appendix 2A - Application for quotation of securities |
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Issue details
Number of +securities to be quoted
3,841
Are the +securities being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
Shares issued on the 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
1.060000
Any other information the entity wishes to provide about the +securities to be quoted
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Appendix 2A - Application for quotation of securities |
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Appendix 2A - Application for quotation of securities |
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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 |
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Total number of +securities on issue |
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NVX : ORDINARY FULLY PAID |
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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 |
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Total number of +securities on issue |
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NVXAD : PERFORMANCE RIGHTS |
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13,421,897 |
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NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES |
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28,210,001 |
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NVXAL : CONVERTIBLE NOTES |
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45,221,586 |
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Appendix 2A - Application for quotation of securities |
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Appendix 3H - Notification of cessation of securities |
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EXHIBIT 99.2
Announcement Summary
Entity name
NOVONIX LIMITED
Announcement Type
New announcement
Date of this announcement
Thursday March 14, 2024
Details of +securities that have ceased
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ASX +security |
Security description |
Number of |
The +securities have |
Date of |
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NVXAD |
PERFORMANCE RIGHTS |
45,034 |
Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied |
14/03/2024 |
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Refer to next page for full details of the announcement
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Appendix 3H - Notification of cessation of securities |
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Appendix 3H - Notification of cessation of securities |
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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
14/3/2024
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Appendix 3H - Notification of cessation of securities |
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Appendix 3H - Notification of cessation of securities |
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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
45,034
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? |
14/3/2024 |
No |
Any other information the entity wishes to notify to ASX about the cessation?
Lapse of performance rights on cessation of employment. |
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Appendix 3H - Notification of cessation of securities |
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Appendix 3H - Notification of cessation of securities |
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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:
The figures in parts 3.1 and 3.2 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.
3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)
ASX +security code and description |
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Total number of +securities on issue |
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NVX : ORDINARY FULLY PAID |
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488,865,791 |
3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)
ASX +security code and description |
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Total number of +securities on issue |
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NVXAD : PERFORMANCE RIGHTS |
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13,385,215 |
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NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES |
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28,210,001 |
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NVXAL : CONVERTIBLE NOTES |
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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.
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Appendix 3H - Notification of cessation of securities |
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