Company: CERO
Filing Date: 2025-04-22
Form Type: 8-K
Source: 0001213900-25-033946
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Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-04-22
Form: 8-K
Item: Item 3.02
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Item 3.02 Unregistered Sales of Equity Securities.

The information provided in Item 1.01 with respect
to the issuance of the shares of Series D Preferred Stock pursuant to the Securities Purchase Agreement is incorporated herein by reference.
All such securities will not be registered under the Securities Act in reliance on the exemption from registration provided by Section
4(a)(2) of the Securities Act and/or Rule 506 of Regulation D promulgated thereunder, or under any state securities laws. The Company
relied on this exemption from registration in entering into the Securities Purchase Agreement and the Company will rely upon this exemption
from registration in issuing such securities based in part on representations made by the PIPE Investors. The securities may not be offered
or sold in the United States absent registration or an applicable exemption from registration requirements. Neither this Current Report
on Form 8-K, nor the exhibits attached hereto, is an offer to sell or the solicitation of an offer to buy the securities described herein.

Item 8.01. Other Events.

Private Placement Press Release

On April 22, 2025, the Company issued a press
release announcing the Private Placement.

A copy of the press release is filed as Exhibit
99.1 hereto and incorporated by reference herein.

Nasdaq Compliance

As previously disclosed, on January 17, 2025,
the Company received a letter setting forth the determination of a panel convened by Nasdaq (the “ Nasdaq Panel”) granting
the Company’s request for an extension (the “ Extension”) to regain compliance with certain continued listing
requirements of the Nasdaq Stock Market until April 22, 2025 (the “ Extension Date”). The Company presented its plan
(the “ Plan”) for regaining compliance with such requirements at a hearing conducted on December 17, 2025. The Company’s
Plan includes completion of a reverse stock split, which occurred on January 8, 2025, and transferring the listing of its securities to
the Nasdaq Capital Market, which was completed on February 12, 2025, and certain other conditions, including the satisfaction of the $2.5
million minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market.

In addition, as previously disclosed, from November
2024 through January 2025, the Company raised approximately $2.3 million of net proceeds from its equity line of credit entered into November
2024, and an additional approximately $4.1 million of net proceeds