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 |
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| (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 April 23, 2024
Exhibit 99.2 Appendix 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated April 23, 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 |
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Date: April 23, 2024
EX-99.1
1
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
|---|
EXHIBIT 99.1
Announcement Summary
Entity name
NOVONIX LIMITED
Date of this announcement
Tuesday April 23, 2024
The +securities the subject of this notification are:
Other
Total number of +securities to be issued/transferred
| ASX +security <br> code | Security description | Total number of<br><br>+securities to be<br>issued/transferred | Issue date |
|---|---|---|---|
| New class - code <br> to be confirmed | Share Rights | 698,295 | 23/04/2024 |
Refer to next page for full details of the announcement
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| 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
23/4/2024
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| 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
Please specify
| Issue of Share Rights to Directors following approval at the 2024 AGM. |
|---|
2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:
does not have an existing ASX security code ("new class")
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 3 / 6 |
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| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | |
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Part 3C - number and type of +securities the subject of this notification (new class)
New +securities
| ASX +security code | +Security description |
|---|---|
| New class - code to be confirmed | Share Rights |
| +Security type | ISIN code |
| --- | --- |
| Other |
Date the +securities the subject of this notification were issued
23/4/2024
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.
| https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02783255-2A1510979 |
|---|
Any other information the entity wishes to provide about the +securities the subject of this notification
Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B
| Issue of Share Rights following Shareholder approval at the 2024 AGM. |
|---|
Issue details
Number of +securities
698,295
Were the +securities issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
| Share rights is part of all non-executive Director remuneration. |
|---|
Purpose of the issue
To pay for services rendered
Additional Details
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 4 / 6 |
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| 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 | 488,912,007 |
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 | 19,383,613 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,166,667 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| New class - code to be confirmed : Share Rights | 698,295 |
| 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?
No
5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1?
Yes
5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1
17/4/2024
| Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | 6 / 6 |
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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
Tuesday April 23, 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 | 7,208,730 | 23/04/2024 |
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
23/4/2024
| 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
23/4/2024
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?
Yes
Provide details of the KMP or +associates being issued +securities.
| Name of KMP | Name of registered holder | Number of +securities |
|---|---|---|
| Rashda Buttar | Rashda Buttar | 1,075,930 |
| Chris Burns | Chris Burns | 3,658,161 |
| Nick Liveris | Nick Liveris | 1,398,709 |
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
7,208,730
| 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)
| Total number of | |
|---|---|
| ASX +security code and description | +securities on issue |
| NVX : ORDINARY FULLY PAID | 488,912,007 |
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 | 26,592,343 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,166,667 |
| 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
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