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 21, 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 22, 2023

 

 


EX-99.1

 

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-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

Monday August 21, 2023

 

The +securities to be quoted are:

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-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

 

 

 

  Number of +securities to

 

 

code

 

Security description

 

be quoted Issue date

 

 

 

 

 

 

 

 

 

 

NVX

 

ORDINARY FULLY PAID

 

4,312

21/08/2023

 

 

 

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

 

 

 

Application for quotation of +securities

1 / 6

 

 


 

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-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

 

 

 

ACN

 

157690830

 

1.3
ASX issuer code

NVX

1.4
The announcement is

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-img58969013_1.jpg New announcement

1.5
Date of this announcement

21/8/2023

 

 

 

 

Application for quotation of +securities

2 / 6

 

 


 

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-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/e02d7cafc9fe62a908d4371440495e99-img58969013_2.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/e02d7cafc9fe62a908d4371440495e99-img58969013_3.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/e02d7cafc9fe62a908d4371440495e99-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

6,871

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

21/8/2023

 

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/e02d7cafc9fe62a908d4371440495e99-img58969013_4.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/e02d7cafc9fe62a908d4371440495e99-img58969013_4.jpg An issue of new +securities

 

The underlying securities being received by the holder are:

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-img58969013_4.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/e02d7cafc9fe62a908d4371440495e99-img58969013_4.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/e02d7cafc9fe62a908d4371440495e99-img58969013_4.jpg No

 

 

 

 

 

Issue date

21/8/2023

 

 

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/e02d7cafc9fe62a908d4371440495e99-img58969013_4.jpg Yes

 

 

 

 

Application for quotation of +securities

4 / 6

 

 


 

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-img58969013_0.jpg 

Application for quotation of +securities

 

 

 

 

Issue details

 

 

 

Number of +securities to be quoted

4,312

 

Are the +securities being issued for a cash consideration?

https://cdn.kscope.io/e02d7cafc9fe62a908d4371440495e99-img58969013_5.jpg No

 

Please describe the consideration being provided for the +securities

Vesting of performance 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

1.000000

 

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/e02d7cafc9fe62a908d4371440495e99-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)

 

 

ASX +security code and description

Total number of

+securities on issue

 

 

NVX : ORDINARY FULLY PAID

487,272,301

 

 

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

+securities on issue

NVXAD : PERFORMANCE RIGHTS

13,819,268

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