Novonix (OTCQX: NVNXF) issues 5.5M performance rights to key managers

Rhea-AI Filing Summary

Novonix Limited has reported the issue of 5,517,712 unquoted NVXAD performance rights on 13 March 2026 under its employee incentive scheme. These rights are in an existing, unquoted ASX class and rank equally with other securities in that class.

Key management personnel received a significant portion, including Robert Long with 2,069,142 performance rights, and both Kimberly Heimert and Dwayne Johnson with 1,724,285 each. Following this issue, Novonix has 861,365,155 NVX ordinary fully paid shares quoted on ASX and 28,735,426 NVXAD performance rights on issue. The issue was made under Listing Rule 7.2 exception 13, so no separate security holder approval was required.

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Form 6-K: How Foreign Companies Report to the SEC →

Accepted by SEC EDGAR 03/13/2026 - 06:04 AM Learn about SEC filing dates

FAQ

What did Novonix Limited (NVNXF) announce in this Form 6-K?

Novonix Limited reported issuing 5,517,712 unquoted NVXAD performance rights on 13 March 2026 under its employee incentive scheme. These securities form part of a pre-existing performance rights class and are not intended to be quoted on the ASX.

How many performance rights did Novonix (NVNXF) grant and in which class?

Novonix granted 5,517,712 performance rights in the unquoted NVXAD PERFORMANCE RIGHTS class. They were issued on 13 March 2026 under an employee incentive scheme and rank equally with existing securities in that class from the date of issue.

Which key management personnel at Novonix (NVNXF) received performance rights?

Key management recipients include Robert Long with 2,069,142 performance rights, and both Kimberly Heimert and Dwayne Johnson with 1,724,285 performance rights each. All are registered holders in the NVXAD PERFORMANCE RIGHTS class issued on 13 March 2026.

How does this Novonix (NVNXF) grant affect total securities on issue?

After the grant, Novonix has 861,365,155 NVX ordinary fully paid shares quoted on ASX and 28,735,426 NVXAD performance rights unquoted. The filing also lists other unquoted classes including options, share rights, and convertible notes with their respective totals.

Were Novonix (NVNXF) shareholders required to approve this performance rights issue?

Shareholder approval was not required. Novonix states the securities were issued under an exception in ASX Listing Rule 7.2, specifically exception 13, which allows certain issues under employee incentive schemes without separate security holder approval.

Are the new Novonix (NVNXF) performance rights intended to trade on ASX?

No, the performance rights are unquoted. The company clarifies they are ‘other securities issued under an employee incentive scheme that are not intended to be quoted’ on the ASX, remaining within the existing NVXAD performance rights class.

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 March, 2026

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 3G (Notification of issue, conversion or payment up of unquoted equity securities) dated March 13, 2026

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/ Robert Long

       Robert Long

       Chief Executive Officer

Date: March 13, 2026

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

EXHIBIT 99.1

Announcement Summary

Entity name

NOVONIX LIMITED

Date of this announcement

Friday March 13, 2026

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

			Total number of
	ASX +security		+securities to be
	code	Security description	issued/transferred	Issue date
	NVXAD	PERFORMANCE RIGHTS	5,517,712	13/03/2026

Refer to next page for full details of the announcement

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 1 / 6

Appendix 3G - 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

13/03/2026

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 2 / 6

Appendix 3G - 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

2.2 a 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")

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 3 / 6

Appendix 3G - 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

13/03/2026

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?

Yes

Provide details of the KMP or +associates being issued +securities.

Name of KMP		Name of registered holder	Number of +securities
Robert Long		Robert Long	2,069,142
Kimberly Heimert		Kimberly Heimert	1,724,285
Dwayne Johnson		Dwayne Johnson	1,724,285

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-researc h/1.0/file/2924-02898271-2A1570239&v=04711220c3a57065317ba4efca4a3459a4e46882

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

Issue details

Number of +securities

5,517,712

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 4 / 6

Appendix 3G - 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 notification, the +securities 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 issued and quoted on ASX)

ASX +security code and description	Total number of +securities on issue
NVX : ORDINARY FULLY PAID	861,365,155

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	28,735,426
NVXAA : OPTION EXPIRING VARIOUS DATES EX VARIOUS PRICES	14,016,667
NVXAB : SHARE RIGHTS	1,008,567
NVXAL : CONVERTIBLE NOTES	45,221,586

NVXAH : CONVERTIBLE DEBENTURES 35,000,000

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 5 / 6

Appendix 3G - 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

13

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities 6 / 6

Filing Exhibits & Attachments

1 document

Press Releases

• EX-99.1 EX-99.1 104.5 KB