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 October, 2023
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001-41208 |
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(Commission File Number) |
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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 3G (Notification of Issue, Conversion or Payment up of Unquoted Equity Securities) dated October 3, 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 |
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Date: October 4, 2023
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
EXHIBIT 99.1
Announcement Summary
Entity name
NOVONIX LIMITED
Date of this announcement
Tuesday October 03, 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
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Total number of |
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ASX +security |
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+securities to be |
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code |
Security description |
issued/transferred |
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Issue date |
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NVXAD |
PERFORMANCE RIGHTS |
300,000 |
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03/10/2023 |
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Refer to next page for full details of the announcement
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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.
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1.2 Registered number type |
Registration number |
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ACN |
157690830 |
1.3 ASX issuer code
NVX
1.4 The announcement is
New announcement
1.5 Date of this announcement
3/10/2023
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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")
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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
3/10/2023
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
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Issue details
Number of +securities
300,000
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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)
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Total number of |
ASX +security code and description |
+securities on issue |
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NVX : ORDINARY FULLY PAID |
488,442,020 |
4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)
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Total number of |
ASX +security code and description |
+securities on issue |
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NVXAD : PERFORMANCE RIGHTS |
14,037,636 |
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NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES |
28,360,001 |
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NVXAL : CONVERTIBLE NOTES |
45,221,586 |
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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
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