SEC Filing | NOVONIX Group

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 29, 2023

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

August 29, 2023

Exhibit 99.3 ASX Announcement (Cleansing Notice), dated August 29, 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 30, 2023


	Application for quotation of +securities

EXHIBIT 99.1

Announcement Summary

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Tuesday August 29, 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		919,719	29/08/2023

Refer to next page for full details of the announcement



Application for quotation of +securities	1 / 7


	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

29/8/2023



Application for quotation of +securities	2 / 7


	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 / 7


	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

NVXAK : SHARE 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
		29/8/2023
436,403

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)?

Yes

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?

No

Issue date

29/8/2023

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

+securities in that class?

Yes



Application for quotation of +securities	4 / 7


	Application for quotation of +securities

Issue details

Number of +securities to be quoted

419,719

Are the +securities being issued for a cash consideration?

No

Please describe the consideration being provided for the +securities

Shares issued on the vesting of Director share rights that were awarded, following shareholder approval, are part of Director remuneration.

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

+securities to be quoted

2.280000

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

Existing +securities converting into additional +securities in an existing class

FROM (Existing Class)

ASX +security code and description

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

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
		29/8/2023
500,000

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?

No



Application for quotation of +securities	5 / 7


	Application for quotation of +securities

Issue date

29/8/2023

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

+securities in that class?

Yes

Issue details

Number of +securities to be quoted

500,000

Are the +securities being issued for a cash consideration?

Yes


In what currency is the cash consideration being paid?		What is the issue price per +security?

AUD - Australian Dollar		AUD 0.70000000

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



Application for quotation of +securities	6 / 7


	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	488,192,020

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	28,360,001

NVXAK : SHARE RIGHTS	0

NVXAL : CONVERTIBLE NOTES	45,221,586



Application for quotation of +securities	7 / 7


	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 29, 2023

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 code	Security description	Total number of +securities to be issued/transferred Issue date

NVXAD	PERFORMANCE RIGHTS	168,368 29/08/2023

Refer to next page for full details of the announcement



Notification of Issue, Conversion or Payment up of Unquoted	1 / 6


	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
ABN

Registration number
54157690830

1.3 ASX issuer code

NVX

1.4 The announcement is

New announcement

1.5 Date of this announcement

29/8/2023



Notification of Issue, Conversion or Payment up of Unquoted	2 / 6


	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

2.2

a 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")



Notification of Issue, Conversion or Payment up of Unquoted	3 / 6


	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

29/8/2023

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?

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

168,368



Notification of Issue, Conversion or Payment up of Unquoted	4 / 6


	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)


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		13,987,636

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


	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



Notification of Issue, Conversion or Payment up of Unquoted	6 / 6

EXHIBIT 99.3

ASX ANNOUNCEMENT

(ASX: NVX)

29 August 2023

Issue of Cleansing Notice under Section 708A Corporations Act

NOVONIX LIMITED (ASX Code: NVX) today issued 919,719 fully paid ordinary shares in NOVONIX Limited (Shares). 500,000 of these shares are from the exercise of $0.70 options, and the remaining 419,719 shares are from the vesting of Director share rights.

NOVONIX Limited issued the Shares without disclosure to investors under section 708A(5)

Corporations Act 2001 (Cth) (Corporations Act).

Details of the Shares


Class of Shares	Fully paid ordinary shares
ASX code of the Shares	NVX
Date of the issue	29 August 2023
Total number of Shares issued	919,719 fully paid ordinary shares

As required by section 708A (6) Corporations Act, NVX advises:

(a)

the Shares were issued without disclosure to investors under part 6D.2 Corporations Act;

(b)

this notice is being given under section 708A(5)(e) Corporations Act;

(c)

as at the date of this notice, NVX has complied with:

(i)

the provisions of chapter 2M Corporations Act as they apply to NVX; and

(ii)

section 674 and section 674A of the Corporations Act; and

(d)

as at the date of this notice, there is no information that is ‘excluded information’ (within the meaning of sections 708A(7) and 708A(8) Corporations Act) to be disclosed under section 708A(6)(e) Corporations Act.

This announcement has been authorised for release by the Board of NOVONIX Limited.

Yours sincerely

Suzanne Yeates

Company Secretary

NOVONIX Limited

NOVONIX Limited (ASX: NVX)

ACN 157 690 830

Level 38, 71 Eagle Street

Brisbane QLD 4000

AUSTRALIA