NOVONIX COO reports performance rights holdings

NOVONIX Ltd Chief Operating Officer Dwayne Arnold Johnson filed an initial ownership report showing he holds several grants of performance rights linked to NOVONIX ordinary shares.

Accepted by SEC EDGAR 03/16/2026 - 07:01 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

NOVONIX Ltd Chief Operating Officer Dwayne Arnold Johnson filed an initial ownership report showing he holds several grants of performance rights linked to NOVONIX ordinary shares. These performance rights have a zero exercise price and, if vesting conditions are met, can convert into ordinary shares over multiple future dates.

The holdings include one grant tied to 1,724,285 underlying ordinary shares and another tied to 173,062 underlying shares, with exercise dates at the end of 2028 and 2027, respectively. Additional time-based performance rights cover blocks of 258,883 or 258,884 underlying ordinary shares each, with exercise dates on November 1, 2026, 2027, 2028, and 2029, and expirations generally on November 1, 2030. The filing lists these positions only and does not show any new market purchases or sales.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Johnson Dwayne Arnold

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Holding	Performance rights	--	--	--
Holding	Performance rights	--	--	--
Holding	Performance rights (time based)	--	--	--
Holding	Performance rights (Time based)	--	--	--
Holding	Performance rights (time based)	--	--	--
Holding	Performance rights (time based)	--	--	--

Holdings: Performance rights — 1,897,347 contracts (Direct); Performance rights (time based) — 1,035,534 contracts (Direct)

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the NOVONIX (NVX) Form 3 filing by COO Dwayne Johnson show?

The Form 3 shows COO Dwayne Arnold Johnson’s existing holdings of performance rights over NOVONIX ordinary shares. It lists multiple grants with specific underlying share amounts, zero exercise prices, and future exercise and expiration dates, but does not report any market buy or sell transactions.

How many NOVONIX (NVX) shares are tied to Dwayne Johnson’s largest performance rights grant?

The largest performance rights grant reported for Dwayne Johnson is tied to 1,724,285 underlying NOVONIX ordinary shares. This grant has a zero exercise price, an exercise date at the end of 2028, and an expiration date at the end of 2029, subject to its vesting conditions.

What are the key terms of the time-based performance rights reported for NOVONIX (NVX) COO?

The time-based performance rights are linked to blocks of 258,883 or 258,884 underlying ordinary shares each. They carry a zero exercise price, with exercise dates on November 1 of 2026, 2027, 2028, and 2029, and common expiration dates on November 1, 2030, pending vesting.

Does the NOVONIX (NVX) Form 3 indicate that the COO bought or sold shares?

The Form 3 does not indicate any buying or selling of NOVONIX shares by the COO. It is an initial ownership report that lists outstanding performance rights and their associated underlying ordinary shares, exercise prices, and key dates, without recording open-market transactions.

What is the exercise price on the performance rights reported in NOVONIX (NVX) COO’s Form 3?

Each performance right reported in the filing shows an exercise price of 0.0000. This means that, if vesting and other conditions are satisfied, the underlying ordinary shares can be acquired without additional cash payment, subject to the specified exercise and expiration dates.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
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1. Name and Address of Reporting Person^*

Johnson Dwayne Arnold

(Last) (First) (Middle)

1029 WEST 19TH STREET

(Street)

CHATTANOOGA TN 37408

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/16/2026

3. Issuer Name and Ticker or Trading Symbol
NOVONIX Ltd [ NVX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Performance rights	12/31/2028	12/31/2029	Ordinary shares	1,724,285	$0	D
Performance rights	12/31/2027	12/31/2028	Ordinary shares	173,062	$0	D
Performance rights (time based)	11/01/2026	11/01/2030	Ordinary shares	258,883	$0	D
Performance rights (Time based)	11/01/2027	11/01/2030	Ordinary shares	258,884	$0	D
Performance rights (time based)	11/01/2028	11/01/2030	Ordinary shares	258,883	$0	D
Performance rights (time based)	11/01/2029	11/01/2030	Ordinary shares	258,884	$0	D

Explanation of Responses:

Remarks:

Performance rights vest based on 3 year TSR performance subject to a revenue modifier.

	Suzanne Yeates	03/17/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.