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
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
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 |
|
|
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
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
|
|
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:
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