Company: CERO
Filing Date: 2025-08-11
Form Type: S-3
Source: 0001213900-25-073849
Chunk: 23

Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-08-11
Form: S-3
Chunk 23
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| (11) | There are currently 20,064 shares of Common Stock underlying the Series D Preferred Stock held by Pinz Capital Special Opportunities Fund, LP issued in the Fourth PIPE Financing at an effective conversion price of $15.60 and the number of shares of Common Stock being registered pursuant to this registration statement for this Selling Stockholder is 300,962 shares of Common Stock underlying the Series D Preferred Stock, assuming conversion at the Floor Price of $3.12. Matthew Pinz, as the CIO of Pinz Capital Special Opportunities Fund, LP, has the power to vote or dispose the shares of Common Stock offered pursuant to this prospectus listed herein. The business address of Pinz Capital Special Opportunities Fund, LP is 27 Hospital Road, George Town, Grand Cayman, KY1-9008.                                                                                                                                                                                                                                                                                                                                                                                                                                                       |
| (12) | There are currently (i) 63,025 shares of Common Stock underlying the Series D Preferred Stock held by Seven Knots LLC issued in the Fourth PIPE Financing at an effective conversion price of $15.60, as reduced to a number of shares equal to 4.99% because of the beneficial ownership limitation set forth in the Series D Certificate of Designations and (ii) 269 shares of Common Stock underlying certain Series C Warrants, issued pursuant to the Securities Purchase Agreement, dated as of September 25, 2024, by and among the Company, Keystone Capital Partners LLC, Seven Knots LLC and certain other investors (which are not being registered under this prospectus). The number of shares of Common Stock being registered pursuant to this registration statement for this Selling Stockholder is 1,450,000 shares of Common Stock underlying the Series D Preferred Stock, assuming conversion at the Floor Price of $3.12. Marissa Welner, as the Manager of Seven Knots LLC, has the power to vote or dispose the shares of Common Stock offered pursuant to this prospectus listed herein. Ms. Welner disclaims any beneficial ownership of these shares. The business address of Seven Knots LLC is 415 N Benton Avenue, Helena, MT 59601. |
| (13) | There are currently 60,090 shares of Common Stock underlying the Series D Preferred Stock held by White Birch Portal, LLC issued in the Fourth PIPE Financing at an effective conversion price of $15.60, as reduced to a number of shares equal to 4.99% because of the beneficial ownership limitation set forth in the Series D Certificate of Design