Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]

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 August, 2023


	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 August 1, 2023

Exhibit 99.2 Appendix 3G (Notification of Issue, Conversion or Payment up of Unquoted Equity Securities) dated August 1, 2023

Exhibit 99.3 Appendix 3H (Notification of Cessation of Securities) dated August 1, 2023

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: August 2, 2023


	Application for quotation of +securities

EXHIBIT 99.1

Announcement Summary

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Tuesday August 01, 2023

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 code	Security description	Number of +securities to be quoted	Issue date

NVX	ORDINARY FULLY PAID	6,002	01/08/2023

Refer to next page for full details of the announcement


Application for quotation of +securities	1 / 6


	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		Registration number
	ABN		54157690830

1.3 ASX issuer code

NVX

1.4 The announcement is

New announcement

1.5 Date of this announcement

1/8/2023


Application for quotation of +securities	2 / 6


	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 +securities to be quoted are:

Additional +securities in a class that is already quoted on ASX ("existing class")


Application for quotation of +securities	3 / 6


	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

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

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

11,750

1/8/2023

1/8/2023

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)?

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?

Issue date

1/8/2023

Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued

+securities in that class?

Yes


Application for quotation of +securities	4 / 6


	Application for quotation of +securities

Issue details

Number of +securities to be quoted

6,002

Are the +securities being issued for a cash consideration?

Please describe the consideration being provided for the +securities

Vesting of performance rights issued as part of employee remuneration package.

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

+securities to be quoted

0.930000

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


Application for quotation of +securities	5 / 6


	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:

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance 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)


	Total number of
ASX +security code and description	+securities on issue


NVX : ORDINARY FULLY PAID	487,267,989

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	14,000,163


NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	28,860,001


NVXAK : SHARE RIGHTS	436,403


NVXAL : CONVERTIBLE NOTES	45,221,586


Application for quotation of +securities	6 / 6


	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 August 01, 2023

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	286,269	01/08/2023

Refer to next page for full details of the announcement


Notification of Issue, Conversion or Payment up of Unquoted	1 / 6


	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

	ABN	54157690830


	1.3 ASX issuer code

	NVX

	1.4 The announcement is
	New announcement


	1.5 Date of this announcement

	1/8/2023


Notification of Issue, Conversion or Payment up of Unquoted	2 / 6


	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")


Notification of Issue, Conversion or Payment up of Unquoted	3 / 6


	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

	1/8/2023

	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?access_token=8 3ff96335c2d45a094df02a206a39ff4

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





Issue details


	Number of +securities

	286,269


Notification of Issue, Conversion or Payment up of Unquoted	4 / 6


	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 application, the +securities of the entity will comprise:

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

4.1 Quoted +Securities (Total number of each +class of +securities quoted)


	Total number of
ASX +security code and description	+securities on issue


NVX : ORDINARY FULLY PAID	487,261,987

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	14,298,182


NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	28,860,001


NVXAK : SHARE RIGHTS	436,403


NVXAL : CONVERTIBLE NOTES	45,221,586


Notification of Issue, Conversion or Payment up of Unquoted	5 / 6


	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


Notification of Issue, Conversion or Payment up of Unquoted	6 / 6

Notification of cessation of +securities
 

EXHIBIT 99.3

Announcement Summary

Entity name

NOVONIX LIMITED

Announcement Type

New announcement

Date of this announcement

Tuesday August 01, 2023

Details of +securities that have ceased


		Number of
ASX +security code	Security description	+securities that The +securities have have ceased ceased due to		Date of cessation

NVXAD	PERFORMANCE RIGHTS	460,293	Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied	01/08/2023

Refer to next page for full details of the announcement


Notification of cessation of +securities	1 / 4

Notification of cessation of +securities
 

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
ABN	54157690830

1.3 ASX issuer code

NVX

1.4 The announcement is

New announcement

1.5 Date of this announcement

1/8/2023


Notification of cessation of +securities	2 / 4

Notification of cessation of +securities
 

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

460,293

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?
1/8/2023	No

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

Lapse of performance rights due to cessation of employment.


Notification of cessation of +securities	3 / 4

Notification of cessation of +securities
 

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:

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	487,261,987

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	13,551,620

NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	28,860,001

NVXAK : SHARE RIGHTS	436,403

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.