NOVONIX Ltd 6-K, filed Nov 29, 2023
NOVONIX Ltd (NVX)
About this 6-K
NOVONIX Ltd filed this 6-K on November 29, 2023.
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 November, 2023
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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 November 28, 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
By: /s/ Dr. John Christopher Burns Dr. John Christopher Burns Chief Executive Officer |
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Date: November 28, 2023
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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
Tuesday November 28, 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
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ASX +security code |
Security description |
Number of +securities to be quoted |
Issue date |
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NVX |
ORDINARY FULLY PAID |
2,178 |
28/11/2023 |
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Refer to next page for full details of the announcement
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Application for quotation of +securities |
1 / 6 |
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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 |
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Registration number |
ACN |
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157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
28/11/2023
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Application for quotation of +securities |
2 / 6 |
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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 +securities to be quoted are:
Additional +securities in a class that is already quoted on ASX ("existing class")
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Application for quotation of +securities |
3 / 6 |
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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 +convertible securities that were 4,735 |
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The first date the options were 28/11/2023 |
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The last date the options were 28/11/2023 |
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)?
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
28/11/2023
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued
+securities in that class?
Yes
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Application for quotation of +securities |
4 / 6 |
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Application for quotation of +securities |
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Issue details
Number of +securities to be quoted
2,178
Are the +securities being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
Vesting of performance rights issued as part of employee remuneration arrangements. |
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the
+securities to be quoted
0.695000
Any other information the entity wishes to provide about the +securities to be quoted
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Application for quotation of +securities |
5 / 6 |
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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:
(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)
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Total number of |
ASX +security code and description |
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+securities on issue |
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NVX : ORDINARY FULLY PAID |
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488,619,898 |
4.2 Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)
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Total number of |
ASX +security code and description |
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+securities on issue |
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NVXAD : PERFORMANCE RIGHTS |
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14,045,484 |
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NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES |
28,210,001 |
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NVXAL : CONVERTIBLE NOTES |
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45,221,586 |
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Application for quotation of +securities |
6 / 6 |
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