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 April, 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):

 

 

 


 

 

EXHIBIT INDEX

 

Exhibit No. Description

 

Exhibit 99.1 Appendix 3Z (Final Director’s Interest Notice) filed April 18, 2024

Exhibit 99.2 Appendix 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated
April 18, 2024

Exhibit 99.3 Appendix 2A (Application for quotation of securities) dated April 18, 2024

Exhibit 99.4 Appendix 2A (Application for quotation of securities) dated April 19, 2024

 

 

 

 


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: April 19, 2024

 

 


EX-99.1

Appendix 3Z

Final Director’s Interest Notice

 

EXHIBIT 99.1

Rule 3.19A.3

Appendix 3Z

 

Final 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 30/9/2001.

 

Name of entity NOVONIX LIMITED

ABN 54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.3 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

21 SEPTEMBER 2023

Date that director ceased to be director

17 APRIL 2024

 

Part 1 – Director’s relevant interests in securities of which the director is the registered holder

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.

 

Number & class of securities

 

5,135,995 ordinary shares

9,000,000 options over ordinary shares

 

 

 

 

 

 

 

 

 

 

 

 

 

 

+ See chapter 19 for defined terms.

 

11/3/2002 Appendix 3Z Page 1


Appendix 3Z

Final Director’s Interest Notice

 

 

Part 2 – Director’s relevant interests in securities of which the director is not the registered holder

 

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.

 

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Name of holder & nature of interest

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.

 

 

 

 

 

 

Number & class of securities

 

 

 

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

 

 

 

360,000 ordinary shares (Lapana Pty Ltd)

 

 

 

 

 

 

 

 

 

Part 3 – Director’s interests in contracts

 

Detail of contract

N/A

Nature of interest

 

 

 

Name of registered holder

(if issued securities)

 

 

No. and class of securities to which interest relates

 

 

 

 

 

+ See chapter 19 for defined terms.

 

Appendix 3Z Page 2 11/3/2002


EX-99.2

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

 

 

 

EXHIBIT 99.2

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Date of this announcement

Thursday April 18, 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

 

 

 

 

 

 

 

  ASX +security
  code

Security description

Total number of
+securities to be
issued/transferred

Issue date

 

 

 

 

 

 

  NVXAD

PERFORMANCE RIGHTS

17,195

18/04/2024

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

 

 

 

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

18/4/2024

 

 

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

 

 

 

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")

 

 

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

 

 

 

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

18/4/2024

 

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

17,195

 

 

 

 

 

 

 

 

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

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Appendix 3G - 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 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

19,397,886

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,200,001

 

 

NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

 

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

 

 

 

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

 

 

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

6 / 6

 


EX-99.3

 

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Appendix 2A - Application for quotation of securities

 

 

 

EXHIBIT 99.3

 

 

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Thursday April 18, 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

 

 

Number of +securities to

 

 

  code

Security description

 

be quoted Issue date

 

 

 

 

 

 

 

 

  NVX

ORDINARY FULLY PAID

 

33,334 18/04/2024

 

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

 

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

ACN

157690830

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

18/4/2024

 

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

 

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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Appendix 2A - Application for quotation of securities

 

 

 

 

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

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

 

 

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

33,334

 

The first date the options were exercised or other +convertible securities were converted

18/4/2024

 

The last date the options were exercised or other +convertible securities were converted

18/4/2024

 

 

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

18/4/2024

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

+securities in that class?

Yes

 

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

Issue details

 

 

Number of +securities to be quoted

33,334

Are the +securities being issued for a cash consideration?

Yes

 

In what currency is the cash consideration being paid?

What is the issue price per +security?

 

 

AUD - Australian Dollar

AUD 0.50000000

 

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

 

 

 

 

 

 

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

 

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

 

488,902,966

 

 

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

 

19,380,691

 

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

 

28,166,667

 

 

 

NVXAL : CONVERTIBLE NOTES

 

45,221,586

 

 

 

 

 

Appendix 2A - Application for quotation of securities

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EX-99.4

 

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Appendix 2A - Application for quotation of securities

 

 

EXHIBIT 99.4

 

 

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Friday April 19, 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

 

 

Number of +securities to

 

 

 code

Security description

 

be quoted Issue date

 

 

 

 

 

 

 

 

 NVX

ORDINARY FULLY PAID

 

9,041 19/04/2024

 

 

 

 

 

 

 

Refer to next page for full details of the announcement

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

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

ACN

157690830

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

19/4/2024

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

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")

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

 

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

14,273

 

The first date the options were
exercised or other +convertible
securities were converted

19/4/2024

 

The last date the options were
exercised or other +convertible
securities were converted

19/4/2024

 

 

 

 

 

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

19/4/2024

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

+securities in that class?

Yes

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

Issue details

 

 

Number of +securities to be quoted

9,041

Are the +securities being issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

Shares issued on vesting of performance rights held by employees as part of their remuneration arrangements.

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

+securities to be quoted

0.930000

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

 

 

 

 

 

 

 

Appendix 2A - Application for quotation of securities

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Appendix 2A - Application for quotation of securities

 

 

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

 

 

 

488,878,673

 

 

 

4.2
Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)

 

 

 

 

Total number of

ASX +security code and description

 

 

+securities on issue

 

 

 

 

NVXAD : PERFORMANCE RIGHTS

 

 

19,383,613

 

 

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

 

 

28,200,001

 

 

 

 

NVXAL : CONVERTIBLE NOTES

 

 

45,221,586

 

 

 

Appendix 2A - Application for quotation of securities

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