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 June, 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 June 28, 2024

 

Exhibit 99.2 Appendix 2A (Application for quotation of securities) dated June 28, 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: June 28, 2024

 

 

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EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Date of this announcement

Friday June 28, 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	594,864	28/06/2024

 

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
ABN	54157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

28/6/2024

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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

28/6/2024

 

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

594,864

 

 

 

 

 

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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)

 

		Total number of
	ASX +security code and description	+securities on issue
	NVX : ORDINARY FULLY PAID	488,988,526

 

 

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	26,395,754
	NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	28,166,667
	NVXAG : SHARE RIGHTS	698,295
	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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EXHIBIT 99.2

 

 

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Friday June 28, 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		15,409	28/06/2024

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

28/6/2024

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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 33,504	The first date the options were exercised or other +convertible securities were converted 28/6/2024	The last date the options were exercised or other +convertible securities were converted 28/6/2024

 

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

28/6/2024

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

15,409

Are the +securities being issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

 

 

Issue of shares on 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

0.765000

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.

+securities subject of this application)

 

ASX +security code and description		Total number of +securities on issue
NVX : ORDINARY FULLY PAID		489,003,935

 

 

 

ASX +security code and description		Total number of +securities on issue
NVXAD : PERFORMANCE RIGHTS		25,767,386
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES		28,166,667
NVXAG : SHARE RIGHTS		698,295
NVXAL : CONVERTIBLE NOTES		45,221,586

 

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