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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, 2023
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001-41208 |
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(Commission File Number) |
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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) filed September 18, 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.
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NOVONIX LIMITED
By: /s/ Dr. John Christopher Burns Dr. John Christopher Burns Chief Executive Officer |
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Date: September 18, 2023
Appendix 3Y
Change of Director’s Interest Notice
EXHIBIT 99.1
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 |
31 August 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 |
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Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.
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HSBC Custody Nominees (Australia) Limited – A/C2 |
Date of change |
15 September 2023 |
No. of securities held prior to change |
1,501,724 ordinary shares (Indirect) 835,276 ordinary shares (Direct) 1,000,000 options over ordinary shares (Direct)
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Class |
Ordinary shares |
Number acquired |
380,000 Ordinary shares (Direct) |
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Number disposed
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None
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+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix 3Y
Change of Director’s Interest Notice
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Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation
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Average of $0.78/share |
No. of securities held after change |
1,501,724 ordinary shares (Indirect) 1,215,276 ordinary shares (Direct) 1,000,000 options over ordinary shares (Direct)
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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 on 15 September 2023. |
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 |
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Nature of interest
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Name of registered holder (if issued securities)
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Date of change |
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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
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Interest acquired |
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Interest disposed |
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Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation
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Interest after change |
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+ See chapter 19 for defined terms.
Appendix 3Y Page 2 01/01/2011
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? |
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If prior written clearance was provided, on what date was this provided? |
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+ See chapter 19 for defined terms.
Appendix 3Y Page 3 01/01/2011