# EDGAR Filing Document

**Accession Number:** 0001870404
**File Stem:** 0001213900-25-084498
**Filing Date:** 2025-9
**Character Count:** 6431
**Document Hash:** 4bf2d62cc36e2a386afbf6611ebfbddf
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-25-084498.hdr.sgml**: 20250904

**ACCESSION NUMBER**: 0001213900-25-084498

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250828

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**FILED AS OF DATE**: 20250904

**DATE AS OF CHANGE**: 20250904

**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:** 251293395

**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): August 28, 2025**

**CERO THERAPEUTICS HOLDINGS, INC.** 

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

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40877** | **87-1088814** |
| **(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** | **NASDAQ Capital Market** |
| **Warrants, each whole warrant exercisable for one two-thousandths of a share of common stock** | **CEROW** | **NASDAQ Capital Market** |

---

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 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.**

On August 28, 2025, CERo Therapeutics Holdings, Inc., a Delaware corporation (the "***Company***"), received a letter from the staff at the Nasdaq Listing Qualifications department notifying the Company that such staff had determined that the Company does not comply with the minimum stockholders' equity requirement of $2,500,000 (the "***Stockholders' Equity Requirement***") for continued listing on the Nasdaq Capital Market ("***Nasdaq***") set forth in Nasdaq Rule 5550(b).

As previously disclosed, the Company previously had been out of compliance with Nasdaq continued listing requirements until, on May 7, 2025, the Company received a determination of a Nasdaq hearings panel (a "***Hearings Panel***") that it had regained compliance with such requirements. Pursuant to Nasdaq Rule 5815(d)(4)(B), the Company is subject to a mandatory hearings panel monitor until one year after regaining compliance with such requirements. As a result, Nasdaq staff lack the discretion to grant the Company a cure period for demonstrating regaining compliance with the Stockholders' Equity Requirement. The Nasdaq staff indicated that the Company's securities would be suspended from trading on Nasdaq and delisted on September 8, 2025, subject to the Company's right to appeal described below.

On September 3, 2025, the Company requested a hearing to appeal such determination before a panel (the "***Hearings Panel***"). The hearing request will stay the suspension of the trading of the Company's common stock and delisting thereof pending such hearing or any extension provided by the Hearings Panel.

At such hearing, the Company intends to submit a plan to regain compliance with the Stockholders' Equity Requirement. Such plan of compliance may include the increase in stockholders' equity through the consummation of public or private financing transactions.

No assurances can be provided that the Company will consummate any financing transactions, obtain a favorable decision from the Hearings Panel or that the Company will be able to regain or maintain compliance with Nasdaq listing's rules.

**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: September 4, 2025