Company: CERO
Filing Date: 2025-11-17
Form Type: PRE 14A
Source: 0001213900-25-111175
Chunk: 89

Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-11-17
Form: PRE 14A
Chunk 89
---
 result in increased costs for a stockholder to bring a claim, particularly if they do not reside in or near Delaware, both of which may discourage lawsuits against us or our directors, officers and employees. Furthermore, the enforceability of similar choice of forum provisions in other companies’ certificates of incorporation or bylaws has been challenged in legal proceedings, and it is possible that a court could find these types of provisions to be inapplicable or unenforceable. Exchange Listing On October29, 2025, we received the determination of the Nasdaq 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, non