Sintx Technologies, Inc. — Regulatory Filings 2021

Oct 14, 2021

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of report (Date of earliest event reported): October 13, 2021

SINTX Technologies, Inc.

(Exact name of registrant as specified in its charter)

Delaware	001-33624	84-1375299
(State
or other jurisdiction of
incorporation)	(Commission File
Number)	(IRS
Employer Identification
No.)

| 1885 West 2100 South Salt

Lake City , UT	84119
(Address
of principal executive offices)	(Zip
Code)

Registrant’s telephone number, including area code: (801) 839-3500

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions ( see General Instruction A.2. below):

| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | | --- | --- | | ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | | ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | | ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |

Securities registered pursuant to Section 12(b) of the Act:

| Title of each class: | Trading Symbol(s): | Name of each exchange on which registered: | | --- | --- | --- | | Common Stock, par value $0.01 per share | SINT | The NASDAQ Capital Market |

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b–2 of the Securities Exchange Act of 1934 (§ 240.12b–2 of this chapter).

Emerging growth company ☐

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 13(a) of the Exchange Act. ☐

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Item 5.07 Submission of Matters to a Vote of Security Holders

On October 13, 2021, SINTX Technologies, Inc. held its reconvened 2021 annual meeting of stockholders at which the following matters were voted on:

Proposal No. 1 : A proposal to elect one Class I director to hold office for a term expiring at the annual meeting of stockholders to be held in 2024 or until his respective successor is elected and qualified. This proposal was approved.

Nominee — Mark Froimson	3,965,763	602,214	6,823,938

There were no abstentions with respect to the election of directors.

Proposal No. 2 : A proposal to ratify the Audit Committee’s appointment of Tanner LLC as the Company’s independent registered public accounting firm for the year ending December 31, 2021. This proposal was ratified.

For — 10,648,415	349,696	393,804	-

Proposal No. 3 : A proposal to adopt, on an advisory basis, a non-binding resolution approving the compensation of the Company’s named executive officers, as described in the Proxy Statement under “Executive Compensation.” This proposal was adopted.

For — 2,419,849	2,062,595	85,533	6,823,938

Proposal No. 4 : A proposal to approve one or more adjournments of the annual meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the meeting to adopt one or more of the foregoing proposals. This proposal was approved.

For — 9,504,196	1,777,765	109,954	-

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Item 8.01 Other Events.

On October 14, 2021, the Company issued a press release with respect to its Q3 2021 Revenue Update. A copy of this press release is filed herewith as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

| Exhibit

No.	Description
99.1	Press Release of SINTX Technologies, Inc. dated October 14, 2021
104	Cover Page Interactive Data File (embedded within the Inline XBRL document)

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SIGNATURE

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.

| | SINTX TECHNOLOGIES, INC. | | --- | --- | | Date: October 14, 2021 | /s/ B. Sonny Bal | | | B. Sonny Bal | | | President and Chief Executive Officer |

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