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): ☐

 

 

 

---

 

 

EXHIBIT INDEX

 

Exhibit No. Description

 

Exhibit 99.1 Appendix 2A (Application for quotation of securities) dated September 4, 2024

 

Exhibit 99.2 Appendix 3X (Initial Director's Interest Notice) filed September 4, 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: September 4, 2024

 

 

---

EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Wednesday September 04, 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	618,129 02/09/2024

Refer to next page for full details of the announcement

 

---

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 ACN	Registration number 157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

4/9/2024

---

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")

---

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 2,335,069	The first date the options were exercised or other +convertible securities were converted 31/8/2024	The last date the options were exercised or other +convertible securities were converted 31/8/2024

 

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?

Yes

Provide details of the KMP or +associates who are exercising options or converting convertible securities

 

Name of KMP		Name of registered holder		Number of options being exercised or other +convertible securities being converted
Chris Burns		Dr John Christopher Burns		349,568
Rashda Buttar		Rashda Buttar		76,559
Nicholas Liveris		Nicholas Liveris		192,002

 

 

 

 

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

---

Issue details

 

 

Number of +securities to be quoted

618,129

Are the +securities being issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

Ordinary 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

 

---

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	493,667,797

 

 

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	20,385,459
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	13,666,667
NVXAG : SHARE RIGHTS	632,890
NVXAL : CONVERTIBLE NOTES	45,221,586

 

---

Rule 3.19A.1

Appendix 3X

 

Initial 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.1 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director	NICHOLAS LIVERIS
Date of appointment	1 SEPTEMBER 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   1,679,327 ordinary shares

 

 

---

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

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.   None	Number & class of Securities

 

 

Part 3 – 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	None.
Nature of interest
Name of registered holder (if issued securities)
No. and class of securities to which interest relates

 

---