# EDGAR Filing Document

**Accession Number:** 0001269026
**File Stem:** 0001493152-23-003895
**Filing Date:** 2023-2
**Character Count:** 15601
**Document Hash:** 4723b9f7be06f207d1f3945d807bf487
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-003895.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0001493152-23-003895

**CONFORMED SUBMISSION TYPE**: POS EX

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20230208

**DATE AS OF CHANGE**: 20230208

**EFFECTIVENESS DATE**: 20230208

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sintx Technologies, Inc.
- **CENTRAL INDEX KEY:** 0001269026
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** POS EX
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-269475
- **FILM NUMBER:** 23596937

**BUSINESS ADDRESS:**
- **STREET 1:** 1885 WEST 2100 STREET
- **CITY:** SALT LAKE CITY
- **STATE:** UT
- **ZIP:** 84119
- **BUSINESS PHONE:** 801-839-3516

**MAIL ADDRESS:**
- **STREET 1:** 1885 WEST 2100 STREET
- **CITY:** SALT LAKE CITY
- **STATE:** UT
- **ZIP:** 84119

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMEDICA Corp
- **DATE OF NAME CHANGE:** 20121231

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AMEDICA CORP
- **DATE OF NAME CHANGE:** 20031104

**As filed with the Securities and Exchange Commission on February 8, 2023**

**Registration No. 333-269475**

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**POST-EFFECTIVE**

**AMENDMENT NO. 1**

**TO**

**FORM S-1**

**REGISTRATION STATEMENT UNDER**

**THE SECURITIES ACT OF 1933**

**SINTX Technologies, Inc.**

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **3841** | **84-1375299** |
| **(State or other jurisdiction of**<br> **incorporation or organization)** | **(Primary Standard Industrial**<br> **Classification Code Number)** | **(I.R.S. Employer**<br> **Identification Number)** |

---

**1885 West 2100 South**

**Salt Lake City, UT, 84119**

**(801) 839-3500**

**(Address, including zip code, and telephone number, including area code, of registrant's principal executive offices)**

**B. Sonny Bal, MD**

**President and Chief Executive Officer**

**SINTX Technologies, Inc.**

**1885 West 2100 South**

**Salt Lake City, UT, 84119**

**(801) 839-3500**

**(Name, address, including zip code, and telephone number, including area code, of agent for service)**

***Copies to:***

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| | |
|:---|:---|
| **David F. Marx**<br> **Daniel P. Lyman**<br> **Dorsey & Whitney LLP**<br> **111 South Main Street, Suite 2100**<br> **Salt Lake City, Utah 84111** | **Barry I. Grossman**<br> **Sarah E. Williams**<br> **Matthew Bernstein**<br> **Ellenoff Grossman & Schole LLP**<br> **1345 Avenue of the Americas, 11th Floor**<br> **New York, NY 10105** |

---

**Approximate date of commencement of proposed sale to the public**: As soon as practicable after this registration statement becomes effective.

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. ☒

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☒ (File No. 333-269475)

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company" and "emerging growth company" in Rule 12b-2 of the Exchange Act:

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| | | | |
|:---|:---|:---|:---|
| Large accelerated filer | ☐ | Accelerated filer | ☐ |
| Non-accelerated filer | ☒ | Smaller reporting company | ☒ |
|  |  | Emerging growth company | ☐ |

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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

**This Registration Statement shall become effective upon filing with the Commission in accordance with Rule 462(d) under the Securities Act of 1933, as amended.**

**EXPLANATORY NOTE**

This Post-Effective Amendment No. 1 (this "Amendment") relates to the Registrant's Registration Statement on Form S-1 (File No. 333-269475), as amended, declared effective on February 7, 2023 by the Securities and Exchange Commission. The Registrant is filing this Amendment for the sole purpose of replacing Exhibit 5.1 to the Registration Statement. This Amendment does not modify any provision of Part I or Part II of the Registration Statement other than Item 16(a) of Part II as set forth below.

**PART II**

**INFORMATION NOT REQUIRED IN PROSPECTUS**

**Item 16. Exhibits and Financial Statement Schedules.**

*(a) Exhibits*

The following exhibits are being filed with this Registration Statement:

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| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **Exhibit**<br> **Number** | **Exhibit Description** | **Filed with<br> this Report** | **Incorporated by<br> Reference <br> herein from**<br> **Form or Schedule** | **Filing Date** | **SEC File/Reg.**<br> **Number** |
| 5.1 | [Opinion of Dorsey & Whitney LLP](ex5-1.htm) | X |  |  |  |
| 23.2 | [Consent of Dorsey & Whitney LLP (included in Exhibit 5.1)](ex5-1.htm) | X |  |  |  |
| 24.1 | [Power of Attorney (Signature Block)](https://www.sec.gov/Archives/edgar/data/1269026/000149315223003152/forms-1.htm#o_001) |  | Form S-1 (Exhibit 24.1) | 1/31/23 | 333-269475 |

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**SIGNATURES**

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Salt Lake City, Utah on February 8, 2023.

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| | |
|:---|:---|
| SINTX TECHNOLOGIES, INC. | SINTX TECHNOLOGIES, INC. |
| By: | */s/ B. Sonny Bal* |
|  | B. Sonny Bal, M.D. |
|  | Chief Executive Officer and President |

---

Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated:

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| | | |
|:---|:---|:---|
| **SIGNATURE** | **TITLE** | **DATE** |
| */s/ B. Sonny Bal* | Chief Executive Officer and Director | February 8, 2023 |
| B. Sonny Bal, M.D. | (Principal Executive Officer and Principal Financial Officer) |  |
| *\** |  | February 8, 2023 |
| David W. Truetzel | Director |  |
| *\** |  | February 8, 2023 |
| Jeffrey S. White | Director |  |
| *\** |  | February 8, 2023 |
| Eric A. Stookey | Director |  |
| *\** |  | February 8, 2023 |
| Marc Froimson | Director |  |

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| | |
|:---|:---|
| \* By: | */s/ B. Sonny Bal* |
|  | B. Sonny Bal, M.D. |
|  | Attorney-in-Fact |

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## Exhibit 5.1

**Exhibit 5.1**

February 7, 2023

SINTX Technologies, Inc.

1885 West 2100 South

Salt Lake City, UT 84119

Re: <u>Registration Statement on Form S-1 (File No. 333-269475)</u>

Ladies and Gentlemen:

We have acted as counsel to SINTX Technologies, Inc., a Delaware corporation (the "<u>Company</u>"), in connection with a Registration Statement on Form S-1 (as amended or supplemented, the "<u>Registration Statement</u>") filed by the Company with the Securities and Exchange Commission (the "<u>Commission</u>") under the Securities Act of 1933, as amended (the "<u>Securities Act</u>"), relating to the registration by the Company of up to 2,150,000 Units consisting of (a)(i) up to 2,150,000 shares (the "<u>Unit Shares</u>") of the Company's Common Stock, par value $0.01 per share (the "<u>Common Stock</u>") or (ii) up to 2,150,000 pre-funded warrants (the "Pre-Funded Warrants and each share of Common Stock underlying a Pre-Funded Warrant, a "<u>Pre-Funded Warrant Share</u>") in lieu thereof to purchase up to 2,150,000 shares of Common Stock, (b) accompanying Common Stock purchase warrants to purchase up to 2,150,000 shares of Common Stock (the "<u>Class C Warrants</u>" and each share of Common Stock underlying a Class C Warrant, a "<u>Class C Warrant Share</u>"), and (c) accompanying Common Stock purchase warrants to purchase up to 1,075,000 shares of Common Stock (the "<u>Class D Warrants</u>" and each share of Common Stock underlying a Class D Warrant, a "<u>Class D Warrant Share</u>"). The Registration Statement also relates to the issuance by the Company of (x) Common Stock purchase warrants issuable to the placement agent to purchase up to 86,000 shares of Common Stock (the "<u>Placement Agent Warrants</u>" and, together with the Pre-Funded Warrants, Class C Warrants and Class D Warrants, the "<u>Warrants</u>" and each share of Common Stock underlying a Placement Agent Warrant, a "<u>Placement Agent Warrant Share</u>" and, together with the Pre-Funded Warrant Shares, Class C Warrant Shares and Class D Warrant Shares, the "<u>Warrant Shares</u>"), and (y) an aggregate of up to 5,461,000 Warrant Shares issuable upon exercise of the Warrants.

We have examined such documents and have reviewed such questions of law as we have considered necessary or appropriate for the purposes of our opinions set forth below. In rendering our opinions set forth below, we have assumed the authenticity of all documents submitted to us as originals, the genuineness of all signatures and the conformity to authentic originals of all documents submitted to us as copies. We have also assumed the legal capacity for all purposes relevant hereto of all natural persons. As to questions of fact material to our opinions, we have relied upon certificates or comparable documents of officers and other representatives of the Company and of public officials.

Based on the foregoing, we are of the opinion that:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. The Units, when issued, delivered and paid for as described in the Registration Statement, will be validly issued, fully paid and non-assessable.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. The Unit Shares, when issued, delivered and paid for as described in the Registration Statement, will be validly issued, fully paid and non-assessable.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. The Pre-Funded Warrants, Class C Warrants and Class D Warrants, when duly executed by the Company and duly delivered to the purchasers thereof against payment therefor as described in the Registration Statement, will constitute valid and binding obligations of the Company, enforceable against the Company in accordance with their terms.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. The Placement Agent Warrants, when duly executed by the Company and duly delivered to the placement agent as described in the Registration Statement, will constitute valid and binding obligations of the Company, enforceable against the Company in accordance with their terms.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. The Warrant Shares have been duly authorized and if, as, and when the Warrant Shares are issued and delivered by the Company upon exercise of the Warrants in accordance with the terms thereof, including, without limitation, the payment in full of applicable consideration, the Warrant Shares will be validly issued, fully paid and non-assessable.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) Our opinions set forth in paragraphs 3 and 4 above are subject to the effect of any applicable bankruptcy, insolvency, reorganization, moratorium or similar law relating to or affecting creditors' rights generally (including, without limitation, fraudulent conveyance laws).

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) Our opinions set forth in paragraphs 3 and 4 above are subject to the effect of general principles of equity, including, without limitation, concepts of materiality, reasonableness, good faith and fair dealing and the possible unavailability of specific performance or injunctive relief, regardless of whether considered in a proceeding in equity or at law.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) Our opinions set forth in paragraphs 3 and 4 above are subject to limitations regarding the availability of indemnification and contribution where such indemnification or contribution may be limited by applicable law or the application of principles of public policy.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) We express no opinion as to the enforceability of (i) provisions that relate to choice of law, forum selection or submission to jurisdiction (including, without limitation, any express or implied waiver of any objection to venue in any court or of any objection that a court is an inconvenient forum) to the extent that the validity, binding effect or enforceability of any such provision is to be determined by any court other than a state court of the State of New York, (ii) waivers by the Company of any statutory or constitutional rights or remedies, (iii) terms which excuse any person or entity from liability for, or require the Company to indemnify such person or entity against, such person's or entity's negligence or willful misconduct or (iv) obligations to pay any prepayment premium, default interest rate, early termination fee or other form of liquidated damages, if the payment of such premium, interest rate, fee or damages may be construed as unreasonable in relation to actual damages or disproportionate to actual damages suffered as a result of such prepayment, default or termination.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) We draw your attention to the fact that, under certain circumstances, the enforceability of terms to the effect that provisions may not be waived or modified except in writing may be limited.

Our opinions expressed above are limited to the laws of the State of New York and the Delaware General Corporation Law.

We hereby consent to the filing of this opinion as an exhibit to the amendment to the Registration Statement filed pursuant to Rule 462(d) of the Securities Act, and to the reference to our firm under the heading "Legal Matters" in the prospectus constituting part of the Registration Statement. In giving this consent, we do not admit that we are within the category of persons whose consent is required under Section 7 of the Securities Act or the rules and regulations of the Commission thereunder.

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| |
|:---|
| Very truly yours, |
| */s/ Dorsey & Whitney LLP* |

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