Company: CERO
Filing Date: 2025-11-28
Form Type: DEF 14A
Source: 0001213900-25-115783
Chunk: 90

Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-11-28
Form: DEF 14A
Chunk 90
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daq Hearings Panel (the “Panel”) to deny our request to continue the listing of our Common Stock on Nasdaq and that the trading in our securities would be suspended at the open of trading on October31, 2025. We submitted a request for review of the Panel’s decision by the Nasdaq Listing and Hearing Review Council. On October31, 2025, our Common Stock commenced trading on the OTC Pink Sheets under the symbol “CERO”. Transfer Agent and Registrar The transfer agent and registrar for our securities is Continental Stock Transfer & Trust Company. The transfer agent and registrar’s address is One State Street Plaza, 30 thFloor, New York, New York 10004, and its telephone number is (800) 509 -5586. 49

CERTAIN RELATIONSHIPS AND RELATED PARTY TRANSACTIONS Other than the compensation agreements and other arrangements described under the sections entitled “ Executive Compensation” and “ Director Compensation” above and the transactions described below, since January 1, 2023, there has not been and there is not currently proposed, any transaction or series of similar transactions to which we were, or will be, a party in which: •the amount involved exceeded, or will exceed, $120,000 (or, if less, 1% of the average of our total asset amounts at December31, 2023 and 2024); and •any director, executive officer, holder of 5% or more of any class of our capital stock or any member of the immediate family of, or entities affiliated with, any of the foregoing persons, had, or will have, a direct or indirect material interest. CERo Relationships and Related Party Transactions Collaboration and Option Agreement On March 3, 2020, Legacy CERo entered into a collaboration and option agreement (“Collaboration Agreement”) with a collaborative partner that was an investor of Legacy CERo, pursuant to which each party was granted a royalty -free, nonexclusive, worldwide license to share the other party’s technologies to create bi -functionalT -cells. Legacy CERo was responsible for all employee and other internal costs incurred in the performance of all of Legacy CERo’s R&D activities, with approved cost overruns funded by the collaborative partner. At the end of the research project, the collaborative partner would be granted the option to enter into an exclusive license for the further development of the combined drug. Under the Collaboration Agreement, the collaborative partner paid us $0 for the year ended December