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 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.2 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.3 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.4 Appendix 3Y (Change of Director’s Interest Notice) dated August 29, 2023

Exhibit 99.5 ASX Announcement (Participation in Investor Conferences), dated August 31, 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 31, 2023


EXHIBIT 99.1	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	ROBERT NATTER
Date of last notice	6 July 2023

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.	HSBC Custody Nominees (Australia) Limited – A/C2
Date of change	29 August 2023
No. of securities held prior to change	1,501,724 ordinary shares (Indirect) 258,018 ordinary shares (Direct) 1,500,000 options over ordinary shares (Direct) 77,258 Share rights (Direct)
Class	Ordinary shares, Options & Share rights
Number acquired	577,258 Ordinary shares (Direct)
Number disposed	77,258 Share rights (Direct) 500,000 Options over ordinary shares (Direct)

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y

Change of Director’s Interest Notice


Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Consideration for options - $350,000 Estimated value of performance rights - $80,735 (based on closing share price on 28 August 2023).
No. of securities held after change	1,501,724 ordinary shares (Indirect) 835,276 ordinary shares (Direct) 1,000,000 options over ordinary shares (Direct)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Vesting of Director share rights and exercise of options over ordinary shares.

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


EXHIBIT 99.1	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


EXHIBIT 99.2		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	ANDREW LIVERIS
Date of last notice	14 November 2022

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.	Interests in shares are held by Mutual Trust Pty Ltd who manage Mr Liveris’ investment. Interests in options over ordinary shares are held by Lapana Pty Ltd, a company that Mr Liveris is a director and shareholder.
Date of change	29 August 2023
No. of securities held prior to change	4,132,794 ordinary shares (Mutual Trust Pty Ltd) 5,066,000 ordinary shares (Direct) 9,000,000 options over ordinary shares 69,995 share rights
Class	Ordinary shares and Share rights
Number acquired	69,995 ordinary shares (Direct)
Number disposed	69,995 share rights (Direct)


+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y

Change of Director’s Interest Notice


Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Estimated value of performance rights - $73,145 (based on closing share price on 28 August 2023).
No. of securities held after change	4,132,794 ordinary shares (Mutual Trust Pty Ltd) 5,135,995 ordinary shares (Direct) 9,000,000 options over 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	Vesting of Director 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


EXHIBIT 99.2		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


EXHIBIT 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	JEAN OELWANG
Date of last notice	14 November 2022

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	29 August 2023
No. of securities held prior to change	79,165 share rights
Class	Ordinary shares & Share rights
Number acquired	79,165 ordinary shares
Number disposed	79,165 share rights
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Estimated value of performance rights - $82,727 (based on closing share price on 28 August 2023).

+ 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

79,165 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

Vesting of Director 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


EXHIBIT 99.3		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


EXHIBIT 99.4	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	ANTHONY BELLAS
Date of last notice	14 November 2022

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	INDIRECT
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	A Bellas is a Director and Shareholder of Loch Explorations Pty Ltd (Loch). Mr Bellas is a Director and Shareholder of AG Bellas Super Pty Ltd (Super)
Date of change	29 August 2023
No. of securities held prior to change	2,277,551 Ordinary shares (Indirect)(Loch) 68,823 Ordinary shares (Indirect)(Super) 66,000 Ordinary share (Direct) 69,995 Share rights (Direct)
Class	Ordinary shares & Share rights
Number acquired	69,995 Ordinary shares (Direct)
Number disposed	69,995 Share rights (Direct)

+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y

Change of Director’s Interest Notice


Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation	Estimated value of performance rights - $73,145 (based on closing share price on 28 August 2023).
No. of securities held after change	2,277,551 Ordinary shares (Indirect)(Loch) 68,823 Ordinary shares (Indirect)(Super) 135,995 Ordinary share (Direct)
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back	Vesting of Director 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


EXHIBIT 99.4	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


EXHIBIT 99.5	ASX ANNOUNCEMENT

(ASX: NVX)

31 August 2023

NOVONIX Announces Participation in September Investor Conferences

BRISBANE, Australia, August 31, 2023 – NOVONIX Limited (NASDAQ: NVX, ASX: NVX) (“NOVONIX” or the “Company”), a leading battery materials and technology company, today announced that members of the executive team are scheduled to participate in the following upcoming investor events in September 2023:

•

Bernstein hosted virtual fireside chat on building the U.S. battery supply chain with NOVONIX CEO, Dr. Chris Burns on September 12, 2023.

•

Piper Sandler Battery Summit held in conjunction with the Growth Frontiers Conference on September 13, 2023 in Nashville, Tennessee.

•

Raymond James Strategic Metals & Materials virtual conference on September 21, 2023.

NOVONIX management will host one-on-one and group investor meetings during the conferences. Presentation materials and webcast links will be available by the day of each event on the NOVONIX investor relations website.

This announcement has been authorized for release by NOVONIX Chairman, Admiral Robert J. Natter, USN Ret.

About NOVONIX

NOVONIX is a leading battery technology company revolutionizing the global lithium-ion battery industry with innovative, sustainable technologies, high-performance materials, and more efficient production methods. The company manufactures industry-leading battery cell testing equipment, is growing its high-performance synthetic graphite anode material manufacturing operations, and has developed an all-dry, zero-waste cathode synthesis process. Through advanced R&D capabilities, proprietary technology, and strategic partnerships, NOVONIX has gained a prominent position in the electric vehicle and energy storage systems battery industry and is powering a cleaner energy future. To learn more, visit us at www.novonixgroup.com or on LinkedIn and X.

For NOVONIX Limited

Scott Espenshade, ir@novonixgroup.com (investors)

Lori McLeod, media@novonixgroup.com (media)

NOVONIX Limited (ASX: NVX)

ACN 157 690 830

Level 38, 71 Eagle Street

Brisbane QLD 4000

AUSTRALIA

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