# EDGAR Filing Document

**Accession Number:** 0001870404
**File Stem:** 0001213900-25-123912
**Filing Date:** 2025-12
**Character Count:** 11565
**Document Hash:** b2ca9550b34f799c00078eb890c246cb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-25-123912.hdr.sgml**: 20251219

**ACCESSION NUMBER**: 0001213900-25-123912

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20251219

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251219

**DATE AS OF CHANGE**: 20251219

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CERO THERAPEUTICS HOLDINGS, INC.
- **CENTRAL INDEX KEY:** 0001870404
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 871088814
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40877
- **FILM NUMBER:** 251588232

**BUSINESS ADDRESS:**
- **STREET 1:** 201 HASKINS WAY
- **STREET 2:** SUITE 230
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 650-407-2376

**MAIL ADDRESS:**
- **STREET 1:** 201 HASKINS WAY
- **STREET 2:** SUITE 230
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PHOENIX BIOTECH ACQUISITION CORP.
- **DATE OF NAME CHANGE:** 20210630

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or Section 15(d)**

**of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): December 19, 2025**

**CERO THERAPEUTICS HOLDINGS, INC.** 

**(Exact name of registrant as specified in its charter)**

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40877** | **81-4182129** |
| **(State or other jurisdiction of<br> incorporation or organization)** | **(Commission File Number)** | **(I.R.S. Employer<br> Identification Number)** |

---

---

| | |
|:---|:---|
| **201 Haskins Way, Suite 230, South San Francisco, CA** | **94080** |
| **(Address of principal executive offices)** | **(Zip Code)** |

---

**(650) 407-2376**

**Registrant's telephone number, including area code**

**Not applicable**

**(Former name or former address, if changed since last report)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| **Common stock, par value $0.0001 per share** | **CERO** |  |
| **Warrants, each whole warrant exercisable for one two-thousandths of a share of common stock** | **CEROW** |  |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**

On December 19, 2025, at the 2025 Special Meeting of Stockholders (the "Special Meeting") of CERo Therapeutics Holdings, Inc. (the "Company"), the stockholders of the Company approved an amendment (the "Amendment") to the CERo Therapeutics Holdings, Inc. 2024 Equity Incentive Plan, as amended (the "Plan"), to increase the number of shares of the Company's common stock, par value $0.0001 per share ("Common Stock"), available for issuance under the Plan and the number of shares that may be issued pursuant to incentive stock options by an additional 32,000,000 shares.

A detailed summary of the material features of the Plan is set forth in the Company's Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 28, 2025, as supplemented on December 2, 2025 (the "Proxy Statement") under the caption "Proposal No. 3: Plan Share Increase Proposal," which description is incorporated herein by reference.

The descriptions of the Amendment contained herein and in the Proxy Statement do not purport to be complete and are qualified in their entirety by reference to the full text of the Amendment, which is attached hereto as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated herein by reference.

**Item 5.07. Submission of Matters to a Vote of Security Holders.**

On December 19, 2025, the Company held the Special Meeting at 9:00 a.m. Pacific Time for the purposes of considering and voting upon the proposals below. As of the record date of November 14, 2025, there were a total of 20,802,671 shares of Common Stock issued and outstanding and entitled to vote at the Special Meeting. There were 10,988,347 shares of Common Stock present at the Special Meeting in person or represented by proxy, or approximately 52.82% of the shares issued and outstanding and entitled to vote at the Special Meeting, representing a quorum. Capitalized terms used, but not defined herein, shall have the meaning set forth in the Proxy Statement.

---

| | |
|:---|:---|
| **Proposal 1.** | To approve an amendment (the "Charter Amendment") to the Company's Second Amended and Restated Certificate of Incorporation, as amended, to combine outstanding shares of Common Stock into a lesser number of outstanding shares (the "Reverse Stock Split"), by a ratio of not less than one-for-forty and not more than one-for-one-hundred-fifty, with the exact ratio to be set within this range by the Company's Board of Directors in its sole discretion. |

---

---

| | | |
|:---|:---|:---|
| **VOTES FOR** | **ABSTENTIONS** | **VOTES AGAINST** |
| 8012563 | 688702 | 2287082 |

---

---

| | |
|:---|:---|
| **Proposal 2.** | To approve, subject to certain conditions, the issuance of shares of Common Stock in accordance with Nasdaq Listing Rule 5635, upon the conversion of the Company's Series E convertible preferred stock, par value $0.0001 per share, issued in a private placement in October 2025, at less than the "minimum price" under Nasdaq Listing Rule 3635(d). |

---

---

| | | | |
|:---|:---|:---|:---|
| **VOTES FOR** | **ABSTENTIONS** | **VOTES AGAINST** | **BROKER NON-VOTES** |
| 3304540 | 127164 | 1422195 | 6134448 |

---

---

| | |
|:---|:---|
| **Proposal 3.** | To approve the Amendment to the Plan, to increase the number of shares of Common Stock available for issuance under the Plan and the number of shares that may be issued pursuant to incentive stock options by an additional 32,000,000 shares. |

---

---

| | | | |
|:---|:---|:---|:---|
| **VOTES FOR** | **ABSTENTIONS** | **VOTES AGAINST** | **BROKER NON-VOTES** |
| 2568408 | 159234 | 2126257 | 6134448 |

---

Proposal 4 was not presented to the stockholders because the foregoing resolutions were approved.

**Item 9.01. Financial Statements and Exhibits.**

(d) Exhibits.

---

| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 10.1\*+ | [Fourth Amendment to the CERo Therapeutics Holdings, Inc. 2024 Equity Incentive Plan](ea027042001ex10-1_cero.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

---

\* Filed herewith.

+ Indicates management contract or compensatory plan.

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | |
|:---|:---|
| **CERO THERAPEUTICS HOLDINGS, INC.** | **CERO THERAPEUTICS HOLDINGS, INC.** |
| By: | /s/ Chris Ehrlich |
| Name: | Chris Ehrlich |
| Title: | Chief Executive Officer |

---

Dated: December 19, 2025

## Exhibit 10.1

**Exhibit 10.1**

**FOURTH AMENDMENT**

**TO THE**

**CERo THERAPEUTICS HOLDINGS, INC.**

**2024 EQUITY INCENTIVE PLAN**

This Amendment to the CERo Therapeutics Holdings, Inc. 2024 Equity Incentive Plan ("<u>Amendment</u>") is hereby adopted by the Board of Directors (the "<u>Board</u>") of CERo Therapeutics Holdings, Inc., a Delaware corporation (the "<u>Company</u>"). All capitalized terms not defined in this Amendment shall be defined as set forth in the Plan.

WHEREAS, the Company maintains the CERo Therapeutics Holdings, Inc. 2024 Equity Incentive Plan (as previously amended, the "<u>Plan</u>").

WHEREAS, the Plan was originally adopted in 2024 with a reserve of 51,726 shares of common stock of the Company and a limit on the number of Incentive Stock Options that may be granted pursuant to the Plan of 50,993 Shares, and such amounts were increased by 20,000 shares each pursuant to the First Amendment to the Plan, dated April 30, 2024, by 208,454 shares each pursuant to the Second Amendment to the Plan, dated September 30, 2024 and 2,000,000 shares each pursuant to the Third Amendment to the Plan, dated May 29, 2025.

WHEREAS, the Board desires to adopt the Amendment to increase (i) the share reserve and (ii) the Incentive Stock Option limit under the Plan, in each case, by 32,000,000 Shares, to meet the Company's equity award needs.

WHEREAS, the Board has recommended that the Amendment be submitted to the stockholders of the Company for approval at the Company's 2025 special meeting of stockholders to be held on December 19, 2025 (the "<u>Effective Date</u>").

NOW THEREFORE BE IT RESOLVED, that effective as of the Effective Date, the Plan is hereby amended as follows:

1. <u>Amendments to Share Reserves</u>.

a. The first sentence of Section 2(a) is amended and restated in
its entirety to read as follows:

"Subject to adjustment in accordance with Section 2(c) and any adjustments as necessary to implement any Capitalization Adjustments, the aggregate number of shares of Common Stock that may be issued pursuant to Awards will not exceed 32,123,494 shares of Common Stock."

b. Section 2(b) is amended and restated in its entirety to read
as follows:

"Notwithstanding anything to the contrary in Section 2(a) and subject to any adjustments as necessary to implement any Capitalization Adjustments, the aggregate maximum number of shares of Common Stock that may be issued pursuant to the exercise of Incentive Stock Options is 32,123,457 shares."

2. <u>All Other Provisions of the Plan Remain the Same</u>. Except
as expressly provided in this Amendment, all other terms, conditions and obligations contained in the Plan shall remain unchanged and
in full force and effect as provided for in the Plan.

ADOPTED BY THE BOARD OF DIRECTORS: November 13, 2025

APPROVED BY THE STOCKHOLDERS: December 19, 2025