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 December, 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 December 14, 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: December 15, 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 December 14, 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 | Number of +securities to | |
|---|---|---|
| code | Security description | be quoted Issue date |
| NVX | ORDINARY FULLY PAID | 92,000 14/12/2023 |
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
14/12/2023
| 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<br><br>200,000 | The first date the options were exercised or other +convertible securities were converted<br><br>14/12/2023 | The last date the options were exercised or other +convertible securities were converted<br><br>14/12/2023 |
|---|
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
14/12/2023
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
92,000
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
0.630000
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 | 488,733,461 |
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 | 13,677,879 |
| NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES | 28,210,001 |
| NVXAL : CONVERTIBLE NOTES | 45,221,586 |
| Application for quotation of +securities | 6 / 6 |
| --- | --- |