| ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
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Reference is made to the Index to Consolidated Financial Statements beginning on Page F-1 hereof.
| (1) | Financial Statements. The following consolidated financial statements and the notes thereto, and the Report of Independent Registered Public Accounting Firm are incorporated by reference as provided in Item 8 of this report: |
| Report of Independent Registered Public Accounting Firm | F-2 |
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| Consolidated Balance Sheets as of December 31, 2023 and 2022 | F-3 |
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| Consolidated Statements of Operations for the Years Ended December 31, 2023 and 2022 | F-4 |
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| Consolidated Statements of Stockholders’ Equity for the years ended December 31, 2023 and 2022 | F-5 |
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| Consolidated Statements of Cash Flows for the Years Ended December 31, 2023 and 2022 | F-6 |
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| Notes to Consolidated Financial Statements | F-7 |
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| (2) | Consolidated Financial Statement Schedules |
Consolidated Financial Statement Schedules have been omitted because they are either not required or not applicable, or because the information required to be presented is included in the consolidated financial statements or the notes thereto included in this Annual Report.
The exhibits listed on the accompanying Exhibit Index are filed or incorporated by reference as part of this Annual Report and such Exhibit Index is incorporated by reference.
| Exhibit Number · Exhibit Description · Filed with this Report · Incorporated by Reference herein from Form or Schedule · Filing Date · SEC File/Reg. Number |
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| 2.1 | Asset Purchase Agreement by and among Amedica Corporation, CTL Corporation and US Spine Inc. dated as of September 5, 2018 | Form 8-K (Exhibit 2.1) | 10/5/18 | 001-33624 |
| 2.2+† | Asset Purchase Agreement by and among SINTX Technologies, Inc. and B4C, LLC, dated July 20, 2021. | Form 8-K (Exhibit 2.1) | 7/26/21 | 001-33624 |
| 2.3† | Stock Purchase Agreement | Form 8-K (Exhibit 2.1) | 7/6/22 | 001-33624 |
| 3.1 | Restated Certificate of Incorporation of the Registrant | Form 8-K (Exhibit 3.1) | 2/20/14 | 001-33624 |
| 3.1.1 | Certificate of Amendment to the Restated Certificate of Incorporation of SINTX Corporation | Form 8-K (Exhibit 3.1) | 1/22/16 | 001-33624 |
| 3.1.2 | Certificate of Amendment to the Restated Certificate of Incorporation of SINTX Corporation | Form 8-K (Exhibit 3.1) | 11/16/17 | 001-33624 |
| 3.1.3 | Certificate of Designation of Series B Preferred Stock | Form 8-K (Exhibit 3.1) | 5/15/18 | 001-33624 |
| 3.1.4 | Certificate of Amendment to the Restated Certificate of Incorporation | Form 8-K (Exhibit 3.1) | 11/02/18 | 001-33624 |
| 3.1.5 | Certificate of Amendment to the Restated Certificate of Incorporation of SINTX Technologies, Inc. | Form 8-K (Exhibit 3.1) | 7/26/19 | 001-33624 |
| 3.1.6 | Certificate of Designation of Series C Preferred Stock | Form 8-K (Exhibit 3.1) | 2/07/20 | 001-33624 |
| 3.1.7 | Certificate of Designation of Series D Preferred Stock | Form 8-K (Exhibit 3.1) | 10/17/22 | 001-33624 |
| 3.1.8 | Certificate of Designation of Series E Preferred Stock | Form 8-K (Exhibit 3.1) | 10/28/22 | 001-33624 |
| 3.1.9 | Certificate of Amendment to the Restated Certificate of Incorporation of Sintx Technologies, Inc. | Form 8-K (Exhibit 3.1) | 12/19/22 | 001-33624 |
| 3.2 | Amended and Restated Bylaws of SINTX Technologies, Inc. | Form 8-K (Exhibit 3.1) | 10/01/21 | 001-33624 |
| 4.1 | Form of Common Stock Certificate of the Registrant | Amendment No. 3 to Form S-1 (Exhibit 4.1) | 1/29/14 | 333-192232 |
| Exhibit Number | Exhibit Description | Filed with this Report | Incorporated by Reference herein from Form or Schedule | Filing Date | SEC File/Reg. Number |
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| 4.2 | Form of Common Stock Warrant | | Form S-1/A | 1/15/20 | 333-234438 |
| 4.3 | Form of Warrant Agency Agreement between Amedica Corporation and American Stock Transfer and Trust Company, LLC, dated February 6, 2020 | | Form 8-K (Exhibit 10.1) | 2/07/20 | 001-33624 |
| 4.4 | Warrant Issued to Maxim Group LLC on February 6, 2020 | | Form 8-K (Exhibit 4.1) | 2/07/20 | 001-33624 |
| 4.5 | Warrant Issued to Ascendiant Capital Markets, LLC on February 6, 2020 | | Form 8-K (Exhibit 4.2) | 2/07/20 | 001-33624 |
| 4.6 | Form of Indenture | | Form S-3 (Exhibit 4.2) | 3/25/19 | 333-230492 |
| 4.7 | Dealer Manager Warrants issued to Maxim Group LLC on October 17, 2022 | | Form 8-K (Exhibit 4.1) | 10/17/22 | 001-33624 |
| 4.8 | Dealer Manager Warrants issued to Ascendiant Capital Markets, LLC on October 17, 2022 | | Form 8-K (Exhibit 4.2) | 10/17/22 | 001-33624 |
| 4.9 | Form of Class A Warrant | | Form 8-K (Exhibit 4.3) | 10/17/22 | 001-33624 |
| 4.10 | Form of Class B Warrant | | Form 8-K (Exhibit 4.4) | 10/17/22 | 001-33624 |
| 4.11 | Form of Class C Warrant | | Form S-1 (Exhibit 4.13) | 2/7/23 | 333-269475 |
| 4.12 | Form of Pre-Funded Warrant | | Form S-1 (Exhibit 4.14) | 2/6/23 | 333-269475 |
| 4.13 | Form of Class D Warrant | | Form S-1 (Exhibit 4.15) | 2/7/23 | 333-269475 |
| 4.14 | Form of Placement Agent Warrant | | Form S-1 (Exhibit 4.16) | 2/6/23 | 333-269475 |
| 4.15 | Warrant Agency Agreement | | Form 8-K (Exhibit 4.5) | 2/9/23 | 001-33624 |
| 4.16 | Form of Pre-Funded Warrant | | Form 8-K (Exhibit 4.1) | 2/2/24 | 001-33624 |
| 4.17 | Form of Class E Warrant | | Form 8-K (Exhibit 4.2) | 2/2/24 | 001-33624 |
| 4.18 | Form of Class F Warrant | | Form 8-K (Exhibit 4.3) | 2/2/24 | 001-33624 |
| 4.19 | Form of Placement Agent Warrant | | Form 8-K (Exhibit 4.4) | 2/2/24 | 001-33624 |
| 4.20 | Form of Warrant Agency Agreement | | Form 8-K (Exhibit 4.5) | 2/2/24 | 001-33624 |
| 4.21 | Form of Senior Indenture, to be entered into between the Registrant and the trustee designated therein | | Form S-3 (Exhibit 4.14) | 10/12/23 | 333-274951 |
| 4.22 | Form of Subordinated Indenture, to be entered into between the Registrant and the trustee designated therein | | Form S-3 (Exhibit 4.16) | 10/12/23 | 333-274951 |
| 4.23 | Description of Registrant’s Securities | X | |
| 10.1 | Centrepointe Business Park Lease Agreement Net by and between the Registrant and Centrepointe Properties, LLC, dated as of April 21, 2009 | | Form S-1 (Exhibit 10.10) | 11/8/13 | 333-192232 |
| 10.2 | First Addendum to Centrepointe Business Park Lease Agreement Net by and between the Registrant and Centrepointe Properties, LLC, dated as of January 31, 2012 | | Form S-1 (Exhibit 10.11) | 11/8/13 | 333-192232 |
| 10.3 | Form of Change of Control Agreement* | | Form 8-K (Exhibit 10.1) | 7/22/15 | 001-33624 |
| 10.4 | Form of Indemnification Agreement by and between the Registrant and its officers and directors | | Amendment No. 2 Form S-1 (Exhibit 10.14) | 12/20/13 | 333-192232 |
| Exhibit Number · Exhibit Description · Filed with this Report · Incorporated by Reference herein from Form or Schedule · Filing Date · SEC File/Reg. Number |
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| 10.5 | Exchange Agreement dated April 4, 2016, by and among SINTX Corporation and Riverside Merchant Partners, LLC | Form 8-K (Exhibit 10.2) | 4/05/16 | 001-33624 |
| 10.6 | Form of Warrant Amendment Agreement | Form S-1 (Exhibit 10.26) | 4/26/18 | 333-223032 |
| 10.7 | Amendment to Centrepointe Business Park Lease Agreement, dated June 7, 2019, between SINTX Technologies, Inc. and Centrepointe Properties, LLC. | Form 8-K (Exhibit 10.1) | 6/10/19 | 001-33624 |
| 10.8 | Promissory Note issued by CTL Corporation in favor of Amedica Corporation dated as of October 1, 2018. | Form 8-K (Exhibit 10.1) | 10/5/18 | 001-33624 |
| 10.9 | Security Agreement between Amedica Corporation and CTL Corporation dated as of October 1, 2018. | Form 8-K (Exhibit 10.2) | 10/5/18 | 001-33624 |
| 10.10 | Guaranty between Amedica Corporation and Daniel Chon dated as of October 1, 2018. | Form 8-K (Exhibit 10.3) | 10/5/18 | 001-33624 |
| 10.11 | ROFN Security Agreement between Amedica Corporation and CTL Corporation dated as of October 1, 2018. | From 8-K (Exhibit 10.4) | 10/5/18 | 001-33624 |
| 10.12 | Promissory Note, dated April 28, 2020 between SINTX Technologies, Inc. and First State Community Bank. | Form 8-K (Exhibit 10.1) | 4/30/20 | 001-33624 |
| 10.13 | Form of Share Purchase Agreement | Form 8-K (Exhibit 99.1) | 6/29/20 | 001-33624 |
| 10.14 | Placement Agency Agreement | Form 8-K (Exhibit 99.2) | 6/29/20 | 001-33624 |
| 10.15 | Form of Share Purchase Agreement | Form 8-K (Exhibit 99.1) | 7/20/20 | 001-33624 |
| 10.16 | Placement Agency Agreement | Form 8-K (Exhibit 99.2) | 7/20/20 | 001-33624 |
| 10.17 | Form of Share Purchase Agreement | Form 8-K (Exhibit 99.1) | 8/6/20 | 001-33624 |
| 10.18 | Placement Agency Agreement | Form 8-K (Exhibit 99.2) | 8/6/20 | 001-33624 |
| 10.19 | Form of Indenture | Form S-3 (Exhibit 4.18) | 10/2/20 | 333-249267 |
| 10.20 | Equity Distribution Agreement, dated as of February 25, 2021, by and between SINTX Technologies, Inc. and Maxim Group LLC | Form 8-K (Exhibit 10.1) | 2/26/20 | 001-33624 |
| 10.21 | 2020 Equity Incentive Plan | Defn 14a Proxy Statement | 7/10/2020 | 001-33624 |
| 10.22 | Form of Warrant Agency Agreement between SINTX Technologies, Inc. and American Stock Transfer & Trust Company, LLC | Form 8-K (Exhibit 10.1) | 10/17/22 | 001-33624 |
| 10.23 | Amendment to Equity Distribution Agreement, dated as of January 10, 2023 by and between SINTX Technologies, Inc., and Maxim Group LLC | Form 8-K (Exhibit 10.1) | 1/13/23 | |
| 10.24 | Form of Securities Purchase Agreement | Form 8-K (Exhibit 10.1) | 2/9/23 | 001-33624 |
| 10.25 | Form of Placement Agent Agreement | Form S-1 (Exhibit 10.25) | 2/6/23 | 333-269475 |
| 10.26 | Form of Securities Purchase Agreement | Form 8-K (Exhibit 10.1) | 2/2/24 | 001-33624 |
| 10.27 | Form of Placement Agency Agreement | Form 8-K (Exhibit 10.2) | 2/2/24 | 001-33624 |
| Exhibit Number | Exhibit Description | Filed with this Report | Incorporated by Reference herein from Form or Schedule | Filing Date | SEC File/Reg. Number |
| 21.1 | List of Subsidiaries | X | |
| 23.1 | Consent of Independent Registered Public Accounting Firm, Tanner LLC | X | |
| 31.1 | Certification of Chief Executive Officer | X | |
| 31.2 | Certification of Principal Financial Officer | X | |
| 32 | Certification pursuant to Section 906 of the Sarbanes Oxley Act of 2002 | X | |
| 97 | SINTX Technologies, Inc. Clawback Policy | X | |
| 101 SCH | Inline XBRL Taxonomy Extension Schema Document (A) | X | |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document (A) | X | |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document (A) | X | |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document (A) | X | |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document (A) | X | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | |
| * | Management contract of compensatory plan or arrangement |
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| + | Schedules and exhibits to this Exhibit have been omitted pursuant to Item 601(b)(2) of Regulation S-K. The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request. |
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| † | A portion of this Exhibit has been omitted as it contains information that (i) is not material and (ii) would be competitively harmful if publicly disclosed. |
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| (A) | XBRL (Extensible Business Reporting Language) information is furnished and not filed for purposes of Section 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934. |
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