6-K

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 August, 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 August 1, 2023

Exhibit 99.2 Appendix 3G (Notification of Issue, Conversion or Payment up of Unquoted Equity Securities) dated August 1, 2023

Exhibit 99.3 Appendix 3H (Notification of Cessation of Securities) dated August 1, 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

 

 

 

 

Date: August 2, 2023

 

 


EX-99.1

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

Application for quotation of +securities

 

EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

 

Announcement Type

New announcement

 

Date of this announcement

Tuesday August 01, 2023

 

The +securities to be quoted are:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_1.jpg +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

6,002

01/08/2023

 

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

Application for quotation of +securities

1 / 6

 

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

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

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_2.jpg New announcement

 

 

 

1.5 Date of this announcement

1/8/2023

 

 

Application for quotation of +securities

2 / 6

 

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

Application for quotation of +securities

 

Part 2 - Type of Issue

 

 

2.1 The +securities to be quoted are:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_3.jpg +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:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_4.jpg Additional +securities in a class that is already quoted on ASX ("existing class")

 

 

Application for quotation of +securities

3 / 6

 

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

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

+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

 

11,750

 

1/8/2023

 

1/8/2023

 

 

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)?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_5.jpg No

 

The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_6.jpg An issue of new +securities

 

The underlying securities being received by the holder are:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_7.jpg 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?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_8.jpg Yes

 

Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_9.jpg No

 

 

 

 

 

 

 

Issue date

1/8/2023

 

 

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

+securities in that class?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_10.jpg Yes

 

Application for quotation of +securities

4 / 6

 

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

Application for quotation of +securities

 

 

Issue details

 

 

 

Number of +securities to be quoted

6,002

 

Are the +securities being issued for a cash consideration?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_11.jpg No

 

Please describe the consideration being provided for the +securities

 

Vesting of performance rights issued as part of employee remuneration package.

 

Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the

+securities to be quoted

0.930000

 

Any other information the entity wishes to provide about the +securities to be quoted

 

 

 

 

Application for quotation of +securities

5 / 6

 

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img58969013_0.jpg 

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)

 

Total number of

ASX +security code and description

+securities on issue

 

 

NVX : ORDINARY FULLY PAID

487,267,989

 

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

14,000,163

 

 

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

 

 


EX-99.2

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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 August 01, 2023

 

The +securities the subject of this notification are:

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg +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

code

Security description

Total number of

+securities to be

issued/transferred

Issue date

 

 

 

 

 

 

 

 

NVXAD

PERFORMANCE RIGHTS

286,269

01/08/2023

 

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

Notification of Issue, Conversion or Payment up of Unquoted

1 / 6

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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

 

 

 

 

ABN

54157690830

 

 

 

 

 

 

 

1.3 ASX issuer code

 

 

 

 

 

NVX

 

 

 

 

 

1.4 The announcement is

 

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg New announcement

 

 

 

 

 

 

 

 

1.5 Date of this announcement

 

 

 

 

 

1/8/2023

 

 

 

Notification of Issue, Conversion or Payment up of Unquoted

2 / 6

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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:

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg +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:

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg has an existing ASX security code ("existing class")

 

 

Notification of Issue, Conversion or Payment up of Unquoted

3 / 6

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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

 

 

 

1/8/2023

 

 

 

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

 

+securities in that class

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg Yes

 

 

 

 

 

 

 

Were any of the +securities issued to +key management personnel (KMP) or an +associate?

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg No

 

 

 

 

 

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?access_token=8 3ff96335c2d45a094df02a206a39ff4

 

 

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

 

 

 

 

 

 

 

 

 

Issue details

 

 

 

 

 

Number of +securities

 

 

 

286,269

 

 

Notification of Issue, Conversion or Payment up of Unquoted

4 / 6

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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 application, the +securities 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)

 

Total number of

ASX +security code and description

+securities on issue

 

 

NVX : ORDINARY FULLY PAID

487,261,987

 

 

 

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

14,298,182

 

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,860,001

 

 

 

NVXAK : SHARE RIGHTS

436,403

 

 

 

NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

Notification of Issue, Conversion or Payment up of Unquoted

5 / 6

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_0.jpg 

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?

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img59892534_1.jpg Yes

 

5.1a Select the number of the applicable exception in Listing Rule 7.2

13

 

Notification of Issue, Conversion or Payment up of Unquoted

6 / 6

 


EX-99.3

 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_0.jpg 

 

Notification of cessation of +securities

 

 

EXHIBIT 99.3

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

 

Announcement Type

New announcement

 

Date of this announcement

Tuesday August 01, 2023

 

Details of +securities that have ceased

 

 

 

 

Number of

 

 

 

ASX +security

code

Security description

+securities that The +securities have

have ceased ceased due to

 

Date of

cessation

 

 

 

 

 

 

 

 

 

NVXAD

PERFORMANCE RIGHTS

460,293

 

Lapse of conditional right to

securities because the

conditions have not been, or

have become incapable of

being, satisfied

 

01/08/2023

 

 

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

Notification of cessation of +securities

1 / 4

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_0.jpg 

 

Notification of cessation of +securities

 

 

 

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

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_1.jpg New announcement

 

 

 

1.5 Date of this announcement

1/8/2023

 

 

Notification of cessation of +securities

2 / 4

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_0.jpg 

 

Notification of cessation of +securities

 

 

 

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

460,293

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?

1/8/2023

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_1.jpg No

 

Any other information the entity wishes to notify to ASX about the cessation?

 

Lapse of performance rights due to cessation of employment.

 

 

 

Notification of cessation of +securities

3 / 4

 


 

https://cdn.kscope.io/bf65a004982d97b1b272de6966329a0c-img60816055_0.jpg 

 

Notification of cessation of +securities

 

 

 

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:

 

3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)

 

ASX +security code and description

Total number of

+securities on issue

 

 

NVX : ORDINARY FULLY PAID

487,261,987

 

 

 

3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)

 

ASX +security code and description

Total number of

+securities on issue

 

 

NVXAD : PERFORMANCE RIGHTS

13,551,620

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,860,001

 

 

NVXAK : SHARE RIGHTS

436,403

 

 

NVXAL : CONVERTIBLE NOTES

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.

 

 

Notification of cessation of +securities

4 / 4