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 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.2 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.3 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.4 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.5 ASX Announcement (Participation in Investor Conferences), dated August 31, 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 31, 2023

 

 


EX-99.1

 

EXHIBIT 99.1

Appendix 3Y

Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

Introduced 30/09/01 Amended 01/01/11

 

Name of entity

NOVONIX LIMITED

ABN

54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director

ROBERT NATTER

Date of last notice

6 July 2023

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest

DIRECT

Nature of indirect interest

(including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

 

HSBC Custody Nominees (Australia) Limited – A/C2

Date of change

29 August 2023

No. of securities held prior to change

1,501,724 ordinary shares (Indirect)

258,018 ordinary shares (Direct)

1,500,000 options over ordinary shares (Direct)

77,258 Share rights (Direct)

 

Class

Ordinary shares, Options & Share rights

 

Number acquired

577,258 Ordinary shares (Direct)

Number disposed

 

 

 

 

 

77,258 Share rights (Direct)

500,000 Options over ordinary shares (Direct)

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1


Appendix 3Y

Change of Director’s Interest Notice

 

 

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

Consideration for options - $350,000

Estimated value of performance rights - $80,735 (based on closing share price on 28 August 2023).

No. of securities held after change

1,501,724 ordinary shares (Indirect)

835,276 ordinary shares (Direct)

1,000,000 options over ordinary shares (Direct)

 

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

Vesting of Director share rights and exercise of options over ordinary shares.

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract

N/A

Nature of interest

 

 

 

Name of registered holder

(if issued securities)

 

 

Date of change

 

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 

 

Interest acquired

 

Interest disposed

 

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 

 

Interest after change

 

 

 

+ See chapter 19 for defined terms.

 

Appendix 3Y Page 2

01/01/2011

 


 

EXHIBIT 99.1

 Appendix 3Y

Change of Director’s Interest Notice

Part 3 – +Closed period

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?

No

If so, was prior written clearance provided to allow the trade to proceed during this period?

 

If prior written clearance was provided, on what date was this provided?

 

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3


EX-99.2

 

EXHIBIT 99.2

Appendix 3Y

Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

Introduced 30/09/01 Amended 01/01/11

 

Name of entity

NOVONIX LIMITED

ABN

54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director

ANDREW LIVERIS

Date of last notice

14 November 2022

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest

DIRECT

Nature of indirect interest

(including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

 

Interests in shares are held by Mutual Trust Pty Ltd who manage Mr Liveris’ investment.

 

Interests in options over ordinary shares are held by Lapana Pty Ltd, a company that Mr Liveris is a director and shareholder.

 

Date of change

29 August 2023

No. of securities held prior to change

4,132,794 ordinary shares (Mutual Trust Pty Ltd)

5,066,000 ordinary shares (Direct)

9,000,000 options over ordinary shares

69,995 share rights

 

Class

Ordinary shares and Share rights

Number acquired

69,995 ordinary shares (Direct)

Number disposed

 

69,995 share rights (Direct)

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

 


Appendix 3Y

Change of Director’s Interest Notice

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

 

Estimated value of performance rights - $73,145 (based on closing share price on 28 August 2023).

No. of securities held after change

4,132,794 ordinary shares (Mutual Trust Pty Ltd)

5,135,995 ordinary shares (Direct)

9,000,000 options over ordinary shares

 

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

Vesting of Director share rights.

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract

N/A

Nature of interest

 

 

 

Name of registered holder

(if issued securities)

 

 

Date of change

 

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 

 

Interest acquired

 

Interest disposed

 

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 

 

Interest after change

 

 

 

+ See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

 


 

EXHIBIT 99.2

Appendix 3Y

Change of Director’s Interest Notice

Part 3 – +Closed period

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?

No

If so, was prior written clearance provided to allow the trade to proceed during this period?

 

If prior written clearance was provided, on what date was this provided?

 

 

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3

 


EX-99.3

 

EXHIBIT 99.3

 

Appendix 3Y

Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

Introduced 30/09/01 Amended 01/01/11

 

Name of entity

NOVONIX LIMITED

ABN

54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director

JEAN OELWANG

Date of last notice

14 November 2022

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest

DIRECT

Nature of indirect interest

(including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

 

N/A

 

Date of change

29 August 2023

No. of securities held prior to change

79,165 share rights

 

Class

Ordinary shares & Share rights

Number acquired

79,165 ordinary shares

Number disposed

 

79,165 share rights

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

 

 

Estimated value of performance rights - $82,727 (based on closing share price on 28 August 2023).

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1


Appendix 3Y

Change of Director’s Interest Notice

 

 

No. of securities held after change

79,165 ordinary shares

 

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

Vesting of Director share rights.

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract

N/A

Nature of interest

 

 

 

Name of registered holder

(if issued securities)

 

 

Date of change

 

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 

 

Interest acquired

 

Interest disposed

 

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 

 

Interest after change

 

 

 

+ See chapter 19 for defined terms.

 

Appendix 3Y Page 2

 

01/01/2011

 


 

EXHIBIT 99.3

 

Appendix 3Y

Change of Director’s Interest Notice

Part 3 – +Closed period

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?

No

If so, was prior written clearance provided to allow the trade to proceed during this period?

 

If prior written clearance was provided, on what date was this provided?

 

 

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3


EX-99.4

 

EXHIBIT 99.4

Appendix 3Y

 

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

Introduced 30/09/01 Amended 01/01/11

 

Name of entity

NOVONIX LIMITED

ABN

54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director

ANTHONY BELLAS

Date of last notice

14 November 2022

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest

INDIRECT

Nature of indirect interest

(including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

 

A Bellas is a Director and Shareholder of Loch Explorations Pty Ltd (Loch).

 

Mr Bellas is a Director and Shareholder of AG Bellas Super Pty Ltd (Super)

Date of change

29 August 2023

No. of securities held prior to change

2,277,551 Ordinary shares (Indirect)(Loch)

68,823 Ordinary shares (Indirect)(Super)

66,000 Ordinary share (Direct)

69,995 Share rights (Direct)

 

Class

Ordinary shares & Share rights

Number acquired

69,995 Ordinary shares (Direct)

 

Number disposed

69,995 Share rights (Direct)

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1


Appendix 3Y

Change of Director’s Interest Notice

 

 

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

Estimated value of performance rights - $73,145 (based on closing share price on 28 August 2023).

No. of securities held after change

2,277,551 Ordinary shares (Indirect)(Loch)

68,823 Ordinary shares (Indirect)(Super)

135,995 Ordinary share (Direct)

 

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

Vesting of Director share rights.

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract

 

N/A

Nature of interest

 

 

 

Name of registered holder

(if issued securities)

 

 

Date of change

 

 

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 

 

Interest acquired

 

 

Interest disposed

 

 

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 

 

Interest after change

 

 

 

 

+ See chapter 19 for defined terms.

 

 

 

Appendix 3Y Page 2

01/01/2011

 


 

EXHIBIT 99.4

Appendix 3Y

 

Change of Director’s Interest Notice

 

 

Part 3 – +Closed period

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?

No.

If so, was prior written clearance provided to allow the trade to proceed during this period?

 

If prior written clearance was provided, on what date was this provided?

 

 

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3


EX-99.5

 

 

https://cdn.kscope.io/0047227e1c26541cad6de90f9ffeed31-img62663097_0.jpg 

 

EXHIBIT 99.5

ASX ANNOUNCEMENT

(ASX: NVX)

 

31 August 2023

 

NOVONIX Announces Participation in September Investor Conferences

BRISBANE, Australia, August 31, 2023 – NOVONIX Limited (NASDAQ: NVX, ASX: NVX) (“NOVONIX” or the “Company”), a leading battery materials and technology company, today announced that members of the executive team are scheduled to participate in the following upcoming investor events in September 2023:

 

Bernstein hosted virtual fireside chat on building the U.S. battery supply chain with NOVONIX CEO, Dr. Chris Burns on September 12, 2023.
Piper Sandler Battery Summit held in conjunction with the Growth Frontiers Conference on September 13, 2023 in Nashville, Tennessee.
Raymond James Strategic Metals & Materials virtual conference on September 21, 2023.

 

NOVONIX management will host one-on-one and group investor meetings during the conferences. Presentation materials and webcast links will be available by the day of each event on the NOVONIX investor relations website.

 

This announcement has been authorized for release by NOVONIX Chairman, Admiral Robert J. Natter, USN Ret.

 

About NOVONIX

NOVONIX is a leading battery technology company revolutionizing the global lithium-ion battery industry with innovative, sustainable technologies, high-performance materials, and more efficient production methods. The company manufactures industry-leading battery cell testing equipment, is growing its high-performance synthetic graphite anode material manufacturing operations, and has developed an all-dry, zero-waste cathode synthesis process. Through advanced R&D capabilities, proprietary technology, and strategic partnerships, NOVONIX has gained a prominent position in the electric vehicle and energy storage systems battery industry and is powering a cleaner energy future. To learn more, visit us at www.novonixgroup.com or on LinkedIn and X.

 

 

For NOVONIX Limited

Scott Espenshade, ir@novonixgroup.com (investors)

Lori McLeod, media@novonixgroup.com (media)

 

NOVONIX Limited (ASX: NVX)

ACN 157 690 830

Level 38, 71 Eagle Street

Brisbane QLD 4000

AUSTRALIA