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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 September, 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) filed September 21, 2023

Exhibit 99.2 Appendix 3Y (Change of Director’s Interest Notice) filed September 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: September 21, 2023

 

 

EX-99.1

Appendix 3Y

Change of Director’s Interest Notice

 

 

EXHIBIT 99.1

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

31 August 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

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

19 September 2023

No. of securities held prior to change

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

68,823 Ordinary shares (Indirect)(Super)

135,995 Ordinary share (Direct)

 

Class

Ordinary shares

Number acquired

116,959 Ordinary shares (Indirect)

 

Number disposed

Nil

 

 

Value/Consideration

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

 

Average of $0.869951

 

+ 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

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

185,782 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

On-market trade

 

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

 

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.

 

Appendix 3Y Page 3 01/01/2011

 

EX-99.2

Appendix 3Y

Change of Director’s Interest Notice

 

 

EXHIBIT 99.2

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

31 August 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.

 

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

19 September 2023

No. of securities held prior to change

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

5,135,995 ordinary shares (Direct)

9,000,000 options over ordinary shares

 

Class

Ordinary shares

Number acquired

360,000 ordinary shares (Indirect)

Number disposed

 

 

 

 

 

Nil

 

+ 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

 

 

 

Average of $0.8202

No. of securities held after change

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

360,000 ordinary shares (Lapana 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

On-market trade.

 

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

 

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.

 

Appendix 3Y Page 3 01/01/2011