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 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)

 

Exhibit 99.2 Appendix 3Y (Change of Director’s Interest Notice)

 

 


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 19, 2024

 

 


EX-99.1

 

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Appendix 2A - Application for quotation of securities

 

EXHIBIT 99.1

Announcement Summary

 

 

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Thursday September 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

46,005 19/09/2024

 

 

 

 

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

ACN

Registration number

157690830

 

 

1.3 ASX issuer code

NVX

 

1.4 The announcement is

New announcement

1.5 Date of this announcement

19/9/2024

 

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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

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

75,000

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

19/9/2024

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

19/9/2024

 

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

19/9/2024

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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Appendix 2A - Application for quotation of securities

 

Issue details

 

 

Number of +securities to be quoted

46,005

Are the +securities being issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

Shares issued 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

0.545000

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

 

 

 

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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

493,713,802

 

 

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

20,310,459

 

 

 

 

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES

13,666,667

 

 

 

 

NVXAG : SHARE RIGHTS

632,890

 

 

 

 

NVXAL : CONVERTIBLE NOTES

45,221,586

 

 

Appendix 2A - Application for quotation of securities

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EX-99.2

Appendix 3Y

Change of Director’s Interest Notice

 

EXHIBIT 99.2

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

NICHOLAS LIVERIS

Date of last notice

4 September 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

13 & 16 September 2024

No. of securities held prior to change

  1,679,327 ordinary shares

 

Class

Ordinary shares

Number acquired

N/A

Number disposed

161,841 ordinary shares

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

$93,306.48

 

 

 

 

 

+ See chapter 19 for defined terms.

 

01/01/2011 Appendix 3Y Page 1

 


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

No. of securities held after change

1,517,486 Ordinary shares

 

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

 

On-market trade

 

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

 

 

 

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.

 

Appendix 3Y Page 2     01/01/2011