Welcome to our dedicated page for NOVONIX SEC filings (Ticker: NVX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
NOVONIX Limited (NASDAQ: NVX, ASX: NVX) files reports with the U.S. Securities and Exchange Commission as a foreign private issuer under Commission File Number 001-41208. On this SEC filings page, Stock Titan surfaces NOVONIX’s regulatory submissions, including Form 6-K current reports that transmit key corporate documents and market announcements.
NOVONIX’s recent Form 6-K filings reference items such as applications for quotation of securities (Appendix 2A), notifications of cessation of securities (Appendix 3H), notifications of issue or conversion of unquoted equity securities (Appendix 3G), changes in substantial holdings, and quarterly activities and cash flow reports. These documents provide detail on NOVONIX’s capital structure changes, equity issuance or cessation events, and operational and cash flow updates.
The company’s filings also identify its principal executive office in Brisbane, Queensland, Australia, and confirm its status as a foreign issuer with securities listed on NASDAQ. Through these filings, NOVONIX reports on matters connected to its battery materials and technology activities, including synthetic graphite manufacturing projects and related financing or governance actions disclosed to investors via attached exhibits.
On Stock Titan, NOVONIX filings are paired with AI-powered summaries that highlight the main points of each document in accessible language. Users can quickly see what type of filing NOVONIX has submitted, the nature of any security issuances or changes, and references to significant corporate announcements included as exhibits. Real-time updates from the EDGAR system, combined with these summaries, help readers navigate NOVONIX’s regulatory history and understand how its SEC reporting aligns with its broader business developments.
NOVONIX Limited has completed the sale of its NOVONIX Battery Technology Solutions Inc. (BTS) business in Nova Scotia, Canada to former CEO Dr. Chris Burns. The divestiture is framed as part of a strategy to focus on building a vertically integrated synthetic graphite supply chain in North America.
Key terms include a share equity sale of the BTS business, including all related assets and liabilities, for a transaction price of US$1.00. As part of the deal, NOVONIX receives a 15% equity stake in the cathode business that will operate as Dryve Battery Materials Inc., while the cash balance at BTS as of closing is targeted at US$2 million, subject to agreed adjustments.
Post-transaction, BTS is split into two independent companies: Avrion Battery Labs Inc., providing advanced battery testing and R&D services, and Dryve Battery Materials Inc., advancing a patented pCAM-free dry synthesis platform for lithium-ion cathode materials. NOVONIX will also provide certain transition services and grant the buyer a trademark license through 31 December 2026.
NOVONIX Limited reports key strategic and cash developments for the quarter ended 31 March 2026. The U.S. Government certified the company’s Riverside project for a previously allocated US$103 million Section 48C advanced manufacturing tax credit, expected when the first 11,000 tonnes per annum of capacity is placed in service before 7 April 2028, with credits that can be sold to a third party.
NOVONIX signed a binding term sheet to divest its Battery Technology Solutions business while retaining a 15% equity stake, and secured exclusive rights to evaluate buying adjacent Riverside land for US$26.5 million, a move the company says could enable more than US$200 million in potential capital savings if a 50,000 tpa build-out is consolidated on one site. The company also highlighted revised mass production timing for Panasonic Energy to the second half of 2027 and a changing U.S. trade environment for anode materials.
Financially, NOVONIX posted a quarterly operating cash outflow of US$14.4 million and invested US$6.8 million in property, plant, and equipment, mainly at Riverside. Cash and cash equivalents were US$57.1 million at quarter-end, equating to an estimated 4.0 quarters of funding based on recent cash usage. The company also received notice from Nasdaq that its ADRs no longer meet the US$1.00 minimum bid price requirement and is assessing options such as adjusting the ADR-to-ordinary share ratio.
NOVONIX Limited has issued 546,279 unquoted NVXAD performance rights under its employee incentive scheme, with these rights ranking equally with existing securities in that class. None of the new rights were issued to key management personnel or their associates.
After this grant, NOVONIX has 861,442,940 NVX ordinary fully paid shares on issue. Its unquoted securities on issue include 29,159,208 NVXAD performance rights, 14,016,667 NVXAA options expiring on various dates at various prices, 1,008,567 NVXAB share rights and 45,221,586 NVXAL convertible notes. The issue was made under exception 13 of ASX Listing Rule 7.2, so it did not require separate security holder approval under Listing Rule 7.1.
Novonix Limited is reporting the issue and ASX quotation of additional ordinary fully paid shares resulting from the conversion of performance rights under an employee incentive scheme. The new shares are in an existing quoted class and will rank equally with other ordinary shares from their issue date.
No cash is being paid for these shares, with the consideration valued at approximately AUD 0.265 per share. Following this quotation, Novonix states that its quoted ordinary share capital on ASX will comprise 861,442,940 ordinary fully paid shares, alongside several unquoted classes including performance rights, options and convertible notes.
NOVONIX Limited filed an amended Form 6-K to correct formatting in its previously furnished AGM presentation, confirming no substantive changes to the underlying content. The filing also provides the Chairman’s address, updated strategy, and detailed voting results from the April 15, 2026 Annual General Meeting.
The Chairman highlights 2025 as a key year, including delivery of the first mass-production, commercial-grade synthetic graphite sample and installation of four graphitization furnaces at the Riverside facility in Chattanooga to support Panasonic Energy qualification. NOVONIX expects mass production of industrial-grade synthetic graphite to begin in 2026 and now anticipates mass production of battery-grade anode material for Panasonic Energy in the second half of 2027.
The company executed a funding agreement with Yorkville Advisors for access to US$100 million in convertible debentures, sold its Mt Dromedary natural graphite project, and agreed a binding term sheet to divest its Battery Technology Solutions division while retaining 15% ownership. NOVONIX reports contracted offtakes including a four‑year, 10,000‑tonne commitment and a five‑year, minimum 32,000‑tonne commitment, both subject to successful qualification. All AGM resolutions, including director re‑elections, performance rights, share rights, and additional 10% placement capacity, were carried by strong majorities.
Novonix Limited filed a Form 6-K furnishing an ASX Appendix 3Z Final Director’s Interest Notice. The notice states that director Nick Liveris ceased to be a director on 15 April 2026, with the last notice dated 16 March 2026. The form is an administrative disclosure of his final director interests, and the section for securities held as registered holder shows no detailed entries.
NOVONIX Limited provides an update from its Annual General Meeting, outlining progress toward large-scale U.S. synthetic graphite production and confirming all AGM resolutions passed by poll. The company has installed four graphitization furnaces at its Chattanooga Riverside facility and delivered its first mass production, commercial-grade synthetic graphite sample for industrial uses in 2025. NOVONIX expects mass production of industrial-grade synthetic graphite to start in 2026 and now anticipates mass production of battery-grade anode material for Panasonic Energy in the second half of 2027, following rigorous qualification processes. It has invested about $200 million in Chattanooga operations and is planning expansion to 50,000 tonnes per annum, with potential capital savings of more than $200 million if capacity is consolidated on one site. Funding support includes a $100 million convertible debenture facility with Yorkville Advisors, a $100 million CMEI grant for Riverside, and a $754 million conditionally committed DOE loan to support future capacity. NOVONIX holds binding offtake commitments totaling 10,000 tonnes over four years and at least 32,000 tonnes over five years, subject to product qualification, and continues discussions with additional customers while also divesting non-core assets to focus on U.S. synthetic graphite.
NOVONIX Limited reports that the U.S. Government has certified its Riverside synthetic graphite project for US$103 million in Section 48C Advanced Energy Project tax credits. NOVONIX will receive these credits once its first 11,000 tpa of production is placed in service before 7 April 2028. The credits are transferable and can be sold to a third party, supporting the company’s plan to build a domestic synthetic graphite supply chain from its Chattanooga, Tennessee operations.
NOVONIX Limited filed a Form 6-K detailing the issue of additional ordinary shares on the ASX following the conversion of performance rights. The company is applying for quotation of 31,777 NVX ordinary fully paid shares, issued on 26 March 2026 as new securities in an existing quoted class.
The shares were issued for non-cash consideration linked to the performance rights, with an estimated value of AUD 0.29 per share. After this issuance, the total number of NVX ordinary fully paid shares quoted on ASX is 861,396,932. The company also discloses unquoted securities, including performance rights, options, and convertible notes that remain on issue.
Novonix Limited has called its 2026 Annual General Meeting for 15 April 2026 as a hybrid event in Brisbane and online, where shareholders can watch, ask questions and vote virtually or in person.
Key items include receiving the FY25 financial and remuneration reports, advisory approval of the 2025 Remuneration Report, and re-election of directors Admiral Robert Natter and Ronald Edmonds. Shareholders are asked to re-approve the Performance Rights Plan for up to 35,000,000 Performance Rights and to grant CEO Michael O’Kronley 5,862,567 FY26 Performance Rights tied to three-year relative TSR and a 2028 revenue modifier. Resolutions also seek approval for 1,371,566 FY26 Share Rights across Phillips 66 Company and six non-executive directors, and an additional 10% share placement capacity under ASX Listing Rule 7.1A, taking potential placement headroom to 25% if approved.