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 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated
March 20, 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 20, 2024

 

 

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EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Date of this announcement

Wednesday March 20, 2024

 

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

 

				Total number of
	ASX +security code		Security description	+securities to be issued/transferred Issue date
	NVXAD		PERFORMANCE RIGHTS	6,418,918 20/03/2024

 

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) give notice of the issue, conversion or payment up of the following unquoted +securities.

 

1.2 Registered number type		Registration number
ACN		157690830

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

20/3/2024

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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

 

2.2a 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

20/3/2024

 

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

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

 

 

Issue details

 

 

Number of +securities

6,418,918

 

 

 

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Part 4 - +Securities on issue

 

 

 

Following the issue, conversion or payment up of the +securities the subject of this notification, the +securities 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 issued and quoted on ASX)

 

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	19,795,781
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	28,210,001
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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