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 March, 2024

 

	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): ☐

 

 

 

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EXHIBIT INDEX

 

Exhibit No. Description

 

Exhibit 99.1 Appendix 2A (Application for Quotation of Securities) dated March 14, 2024

 

Exhibit 99.2 Appendix 3H (Notification of of Cessation of Securities) dated March 14, 2024

 

 

 

 

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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: March 15, 2024

 

 

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EXHIBIT 99.1

 

 

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Thursday March 14, 2024

 

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 code	Security description	Number of +securities to be quoted		Issue date
	NVX	ORDINARY FULLY PAID	3,841		14/03/2024

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) 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

14/3/2024

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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 +class of +securities to be quoted is:

Additional +securities in a class that is already quoted on ASX ("existing class")

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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

NVXAD : PERFORMANCE 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 8,352	The first date the options were exercised or other +convertible securities were converted 14/3/2024	The last date the options were exercised or other +convertible securities were converted 14/3/2024

 

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?

Yes

Are any of the options being exercised or other +convertible securities being converted held by +key management personnel (KMP) or an +associate?

No

 

 

 

Issue date

14/3/2024

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

+securities in that class?

Yes

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Issue details

 

 

Number of +securities to be quoted

3,841

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 employee performance rights.

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

+securities to be quoted

1.060000

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

 

 

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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:

The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are 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		488,869,632

 

 

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		13,421,897
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES		28,210,001
NVXAL : CONVERTIBLE NOTES		45,221,586

 

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EXHIBIT 99.2

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Thursday March 14, 2024

 

Details of +securities that have ceased

 

	ASX +security code	Security description	Number of +securities that have ceased	The +securities have ceased due to	Date of cessation
	NVXAD	PERFORMANCE RIGHTS	45,034	Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied	14/03/2024

Refer to next page for full details of the announcement

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Part 1 - Announcement Details

 

 

 

1.1 Name of +Entity

NOVONIX LIMITED

We (the entity named above) provide the following information about our issued capital.

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

14/3/2024

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Part 2 - Details of +equity securities or +debt securities that have ceased

 

 

ASX +Security Code and Description

NVXAD : PERFORMANCE RIGHTS

 

Unquoted +equity securities that have ceased
Number of securities that have ceased

45,034

 

Reason for cessation

Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied

Date of cessation	Is the entity paying any consideration for the cessation?
14/3/2024	No

 

 

Any other information the entity wishes to notify to ASX about the cessation?

Lapse of performance rights on cessation of employment.

 

 

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Part 3 - Issued capital following changes

 

 

Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:

The figures in parts 3.1 and 3.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are currently with ASX for processing.

 

3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)

 

ASX +security code and description		Total number of +securities on issue
NVX : ORDINARY FULLY PAID		488,865,791

 

 

3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)

 

ASX +security code and description		Total number of +securities on issue
NVXAD : PERFORMANCE RIGHTS		13,385,215
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES		28,210,001
NVXAL : CONVERTIBLE NOTES		45,221,586

 

 

Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.

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