Company: CERO
Filing Date: 2025-11-19
Form Type: 10-Q
Source: 0001213900-25-112619
Chunk: 118

Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-11-19
Form: 10-Q
Item: Item 1
Chunk 118
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, which may impact their ability to make an informed investment decision, result in a reduction
in the trading price, trading volume or analyst coverage of our Common Stock or expose us to potential liability.

Item 2. Unregistered Sales of Equity Securities
and Use of Proceeds

On July 18, 2025, the Company
sold an additional 497 shares of Series D Preferred Stock for gross cash proceeds of $432,600 in an additional closing, and the Company
received net proceeds of $320,801.

During the three months ended
September 30, 2025, the Company sold 253,682 shares of common stock of the Company for net proceeds of $1,278,217 under the July 2025
Keystone Purchase Agreement.

On July 18, 2025, the
Company converted 53 shares of Series C Preferred Stock into 10,600 shares of common stock and in September 2025, 200 shares of
Series D Preferred Stock into 37,314 shares of common stock.

Item 3. Defaults Upon Senior Securities

None.

Item 4. Mine Safety Disclosures

Not applicable.

Item 5. Other Information

From time to time, our officers
(as defined in Rule 16a–1(f)) and directors may enter into Rule 10b5-1 or non-Rule 10b5-1 trading arrangements (as each such term
is defined in Item 408 of Regulation S-K). None of our directors or “officers,” as defined in Rule 16a-1(f) under the Securities
Exchange Act of 1934, adopted or terminated a Rule 10b5-1 trading plan or arrangement or a non-Rule 10b5-1 trading plan or arrangement,
as defined in Item 408(c) of Regulation S-K, during the fiscal quarter covered by this report.

51

Item 6. Exhibits

The following exhibits are
filed as part of, or incorporated by reference into, this Quarterly Report on Form 10-Q.

    No.
     
    Description
    of Exhibit
  
    3.1
     
    Second Amended and Restated Certificate of Incorporation of CERo Therapeutics Holdings, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K/A filed by CERo Therapeutics Holdings, Inc. with the Securities and Exchange Commission on February 27, 2024).