Company: CERO
Filing Date: 2025-04-22
Form Type: 8-K
Source: 0001213900-25-033946
Chunk: 3

Company: CERO THERAPEUTICS HOLDINGS, INC.
Filing Date: 2025-04-22
Form: 8-K
Item: Item 9.01
Chunk 3
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Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

The following exhibits are being filed herewith:

  Exhibit No.      Document                                                                                                                                         
  3.1              Form of Certificate of Designation of Preferences, Rights and Limitations of the Series D Convertible Preferred Stock.                           
  10.1*†           Securities Purchase Agreement, dated as of April 21, 2025, by and between CERo Therapeutics Holdings, Inc. and the investors signatory thereto.  
  10.2*            Form of Registration Rights Agreement by and between CERo Therapeutics Holdings, Inc. and the investors signatory thereto.                       
  10.3             Form of Consent Agreement                                                                                                                        
  99.1             Press Release of CERo Therapeutics Holdings, Inc., dated April 22, 2025                                                                          
  104              Cover Page Interactive Data File (embedded within the Inline XBRL document).                                                                     

  Schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request.  

  Certain portions of this document that constitute confidential information have been redacted pursuant to Item 601(b)(10) of Regulation S-K.  

Forward-Looking Statements

This Current Report on Form 8-K contains statements
that are forward-looking and as such are not historical facts. This includes, without limitation, statements regarding (i) the expected
cash proceeds of the Private Placement and the timing of the closing of the Private Placement, and (ii) financial position, business strategy
and the plans and objectives of management for future operations of the Company, and the implementation of its proposed plan of compliance
with Nasdaq continued listing standards. These statements constitute projections, forecasts and forward-looking statements, and are not
guarantees of performance. Such statements can be identified by the fact that they do not relate strictly to historical or current facts.
When used in this communication, words such as “anticipate,” “believe,” “continue,” “could,”
“estimate,” “expect,” “intend,” “may,” “might,” “plan,” “possible,”
“potential,” “predict,” “project,” “should,” “strive,” “would”
and similar expressions may identify forward-looking statements, but the absence of these words does not mean that a statement is not
forward-looking. When the Company discusses its