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 September, 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 September 2, 2024

 

Exhibit 99.2 Appendix 3H (Notification of cessation of securities) dated September 2, 2024

 

Exhibit 99.3 Appendix 3Y (Change of Director’s Interest Notice) dated September 2, 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: September 3, 2024

 

 

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EXHIBIT 99.1

 

 

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Monday September 02, 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	315,405 02/09/2024

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
ACN		157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

2/9/2024

 

 

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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

NVXAG : SHARE 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 65,405		The first date the options were exercised or other +convertible securities were converted 2/9/2024		The last date the options were exercised or other +convertible securities were converted 2/9/2024

 

 

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?

No

 

 

 

Issue date

2/9/2024

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

65,405

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 performance rights

 

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

+securities to be quoted

0.615000

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

 

 

 

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 250,000		The first date the options were exercised or other +convertible securities were converted 2/9/2024		The last date the options were exercised or other +convertible securities were converted 2/9/2024

 

 

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

2/9/2024

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

250,000

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 performance rights

 

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

+securities to be quoted

0.615000

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	493,049,668

 

 

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	25,565,044
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	16,166,667
NVXAG : SHARE RIGHTS	632,890
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

Monday September 02, 2024

 

Details of +securities that have ceased

 

			Number of
	ASX +security		+securities that	The +securities have	Date of
	code	Security description	have ceased	ceased due to	cessation
	NVXAD	PERFORMANCE RIGHTS	2,844,516	Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied	01/09/2024
	NVXAA	OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	2,500,000	Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied	01/09/2024

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
ACN	157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

2/9/2024

 

 

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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

2,844,516

 

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?
1/9/2024	No

 

 

 

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

 

Lapse of performance rights on cessation of employment.

 

 

ASX +Security Code and Description

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

 

Unquoted +equity securities that have ceased

Number of securities that have ceased

2,500,000

 

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?
1/9/2024	No

 

 

 

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

 

Lapse of options on the 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	492,734,263

 

 

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	22,970,528
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	13,666,667
NVXAG : SHARE RIGHTS	698,295
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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EXHBIT 99.3

Appendix 3Y Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

Change of 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 30/09/01 Amended 01/01/11

 

Name of entity NOVONIX LIMITED

ABN 54 157 690 830

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director	RON EDMONDS
Date of last notice	29 April 2024

 

Part 1 - Change of director’s relevant interests in securities

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.

Direct or indirect interest	DIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	2 September 2024
No. of securities held prior to change	175,154 Share rights
Class	Ordinary shares
Number acquired	65,405 ordinary shares
Number disposed	65,405 Share rights
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Non-cash – Issue of shares on the vesting of Share Rights.

 

 

+ See chapter 19 for defined terms.

 

01/01/2011 Appendix 3Y Page 1

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Appendix 3Y

Change of Director’s Interest Notice

 

 

No. of securities held after change	65,405 Ordinary shares 109,749 Share rights
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Issue of shares on the vesting of Share Rights.

 

Part 2 – Change of director’s interests in contracts

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.

Detail of contract	N/A
Nature of interest
Name of registered holder (if issued securities)
Date of change
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed
Interest acquired
Interest disposed
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation
Interest after change

 

 

 

 

 

 

 

 

 

 

 

 

 

+ See chapter 19 for defined terms.

 

Appendix 3Y Page 2 01/01/2011

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Appendix 3Y Change of Director’s Interest Notice

 

Part 3 – +Closed period

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required?	No.
If so, was prior written clearance provided to allow the trade to proceed during this period?
If prior written clearance was provided, on what date was this provided?

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

+ See chapter 19 for defined terms.

 

01/01/2011 Appendix 3Y Page 3

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