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 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated
April 23, 2024

Exhibit 99.2 Appendix 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated
April 23, 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 23, 2024

 

 


EX-99.1

1

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Appendix 3G - 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 April 23, 2024

 

The +securities the subject of this notification are:

Other

Total number of +securities to be issued/transferred

 

 

 

  ASX +security
  code

 

Security description

Total number of

+securities to be
issued/transferred

  Issue date

 

 

 

 

 

 

 

  New class - code
  to be confirmed

 

Share Rights

698,295

  23/04/2024

 

 

 

 

 

 

 

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

23/4/2024

 

 

 

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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

Please specify

 

Issue of Share Rights to Directors following approval at the 2024 AGM.

 

 

2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

does not have an existing ASX security code ("new class")

 

 

 

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

 

 

 

Part 3C - number and type of +securities the subject of this notification (new class)

 

 

New +securities

 

 

ASX +security code

 

+Security description

New class - code to be confirmed

 

Share Rights

 

+Security type

 

ISIN code

Other

 

 

 

Date the +securities the subject of this notification were issued

 

23/4/2024

Will all the +securities issued in this class rank equally in all respects from their issue date?

Yes

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02783255-2A1510979

 

 

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

 

 

 

Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B

 

Issue of Share Rights following Shareholder approval at the 2024 AGM.

 

 

Issue details

 

 

Number of +securities

698,295

Were the +securities issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

 

Share rights is part of all non-executive Director remuneration.

 

Purpose of the issue

To pay for services rendered

Additional Details

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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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

488,912,007

 

 

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

19,383,613

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,166,667

 

 

NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

New class - code to be confirmed : Share Rights

698,295

 

 

 

 

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?

No

 

 

5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1?

Yes

 

5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1

17/4/2024

 

 

 

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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

Tuesday April 23, 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

7,208,730

23/04/2024

 

 

 

 

 

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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https://cdn.kscope.io/6b56ea61c86a3e715a2ec758dabd6ff5-img59892534_0.jpg 

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

23/4/2024

 

 

 

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https://cdn.kscope.io/6b56ea61c86a3e715a2ec758dabd6ff5-img59892534_0.jpg 

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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https://cdn.kscope.io/6b56ea61c86a3e715a2ec758dabd6ff5-img59892534_0.jpg 

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

23/4/2024

 

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?

Yes

Provide details of the KMP or +associates being issued +securities.

 

Name of KMP

Name of registered holder

Number of +securities

Rashda Buttar

Rashda Buttar

1,075,930

 

 

 

Chris Burns

Chris Burns

3,658,161

 

 

 

Nick Liveris

Nick Liveris

1,398,709

 

 

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

7,208,730

 

 

 

 

 

 

 

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

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https://cdn.kscope.io/6b56ea61c86a3e715a2ec758dabd6ff5-img59892534_0.jpg 

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)

 

 

Total number of

ASX +security code and description

+securities on issue

 

 

 

 

NVX : ORDINARY FULLY PAID

488,912,007

 

 

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

26,592,343

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

28,166,667

 

 

NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

 

 

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

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https://cdn.kscope.io/6b56ea61c86a3e715a2ec758dabd6ff5-img59892534_0.jpg 

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

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