[8-K] CERo Therapeutics Holdings, Inc. Reports Material Event

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

8-K

Rhea-AI Filing Summary

LightWave Acquisition Corp. (Nasdaq: LWACU) has completed its special-purpose acquisition company (SPAC) initial public offering. The 8-K dated 30 June 2025 reports that on 26 June 2025 the company closed the sale of 21,562,500 units (including the full over-allotment option) at $10.00 per unit, generating $215.625 million in gross proceeds. Each unit contains one Class A ordinary share and one-half warrant exercisable at $11.50.

Simultaneously, the sponsor and BTIG purchased a total of 606,250 private-placement units at the same $10.00 price. Together, IPO and private-placement proceeds鈥�$215.625 million, inclusive of a $7.55 million deferred underwriting fee鈥攚ere deposited into a U.S.-based trust account managed by Continental Stock Transfer & Trust. The funds are restricted until (i) a business combination, (ii) redemption if no deal is completed within 24 months, or (iii) certain shareholder-approved amendments.

The filing also discloses execution of key agreements customary for SPACs, including the underwriting agreement (BTIG), warrant agreement, investment management trust agreement, registration-rights agreement, two private-placement purchase agreements, administrative-services agreement and indemnification agreements for officers and directors.

Corporate governance changes: Three independent directors鈥擱obert Hochberg (Audit Chair), Charlotte S. Blechman, and Allen C. Dickason (Compensation Chair)鈥攋oined the board on 24 June 2025. LightWave also adopted an amended & restated memorandum and articles of association with effect from the IPO closing.

Key takeaways for investors:

Completed funding positions the SPAC with more than $215 million in trust to pursue an acquisition.
Full exercise of the over-allotment option indicates solid demand for the offering.
24-month completion window and warrant structure introduce dilution and timeline risks typical of SPAC vehicles.

LightWave Acquisition Corp. (Nasdaq: LWACU) ha completato la sua offerta pubblica iniziale tramite una societ脿 di acquisizione a scopo speciale (SPAC). Il rapporto 8-K datato 30 giugno 2025 comunica che il 26 giugno 2025 la societ脿 ha concluso la vendita di 21.562.500 unit脿 (inclusa l'intera opzione di sovrallocazione) a 10,00 $ per unit脿, generando 215,625 milioni di dollari di proventi lordi. Ogni unit脿 comprende un'azione ordinaria di Classe A e mezza warrant esercitabile a 11,50 $.

Contemporaneamente, lo sponsor e BTIG hanno acquistato un totale di 606.250 unit脿 in collocamento privato allo stesso prezzo di 10,00 $. Complessivamente, i proventi dell'IPO e del collocamento privato 鈥� 215,625 milioni di dollari, inclusa una commissione di sottoscrizione differita di 7,55 milioni di dollari 鈥� sono stati depositati in un conto fiduciario con sede negli Stati Uniti gestito da Continental Stock Transfer & Trust. I fondi rimangono vincolati fino a (i) una combinazione aziendale, (ii) il rimborso se non si conclude un accordo entro 24 mesi, o (iii) determinate modifiche approvate dagli azionisti.

Il documento rivela anche la stipula di accordi chiave tipici per le SPAC, inclusi l'accordo di sottoscrizione (BTIG), l'accordo sulle warrant, l'accordo di gestione del trust di investimento, l'accordo sui diritti di registrazione, due accordi di acquisto in collocamento privato, l'accordo per servizi amministrativi e gli accordi di indennizzo per dirigenti e amministratori.

Cambiamenti nella governance aziendale: Tre amministratori indipendenti 鈥� Robert Hochberg (Presidente del Comitato Audit), Charlotte S. Blechman e Allen C. Dickason (Presidente del Comitato Compensi) 鈥� sono entrati nel consiglio il 24 giugno 2025. LightWave ha inoltre adottato un memorandum e statuto modificati e aggiornati con effetto dalla chiusura dell'IPO.

Punti chiave per gli investitori:

Il completamento del finanziamento posiziona la SPAC con oltre 215 milioni di dollari in trust per perseguire un'acquisizione.
L'esercizio completo dell'opzione di sovrallocazione indica una domanda solida per l'offerta.
Il periodo di completamento di 24 mesi e la struttura delle warrant introducono rischi di diluizione e di tempistica tipici dei veicoli SPAC.

LightWave Acquisition Corp. (Nasdaq: LWACU) ha completado su oferta p煤blica inicial mediante una compa帽铆a de adquisici贸n con prop贸sito especial (SPAC). El informe 8-K fechado el 30 de junio de 2025 informa que el 26 de junio de 2025 la compa帽铆a cerr贸 la venta de 21.562.500 unidades (incluida la opci贸n completa de sobreasignaci贸n) a 10,00 $ por unidad, generando 215,625 millones de d贸lares en ingresos brutos. Cada unidad contiene una acci贸n ordinaria Clase A y una mitad de warrant ejercitable a 11,50 $.

Simult谩neamente, el patrocinador y BTIG adquirieron un total de 606.250 unidades en colocaci贸n privada al mismo precio de 10,00 $. En conjunto, los ingresos de la OPI y la colocaci贸n privada 鈥� 215,625 millones de d贸lares, incluyendo una comisi贸n de suscripci贸n diferida de 7,55 millones de d贸lares 鈥� fueron depositados en una cuenta fiduciaria con sede en EE.UU. administrada por Continental Stock Transfer & Trust. Los fondos est谩n restringidos hasta (i) una combinaci贸n de negocios, (ii) el reembolso si no se completa un acuerdo en 24 meses, o (iii) ciertas enmiendas aprobadas por los accionistas.

El informe tambi茅n revela la ejecuci贸n de acuerdos clave habituales en SPACs, incluyendo el acuerdo de suscripci贸n (BTIG), el acuerdo de warrants, el acuerdo de gesti贸n del fideicomiso de inversi贸n, el acuerdo de derechos de registro, dos acuerdos de compra en colocaci贸n privada, el acuerdo de servicios administrativos y los acuerdos de indemnizaci贸n para directivos y consejeros.

Cambios en la gobernanza corporativa: Tres directores independientes 鈥� Robert Hochberg (Presidente del Comit茅 de Auditor铆a), Charlotte S. Blechman y Allen C. Dickason (Presidente del Comit茅 de Compensaci贸n) 鈥� se unieron a la junta el 24 de junio de 2025. LightWave tambi茅n adopt贸 un memorando y estatutos enmendados y reformulados con vigencia desde el cierre de la OPI.

Puntos clave para los inversores:

La financiaci贸n completada posiciona a la SPAC con m谩s de 215 millones de d贸lares en fideicomiso para buscar una adquisici贸n.
El ejercicio completo de la opci贸n de sobreasignaci贸n indica una demanda s贸lida para la oferta.
El plazo de 24 meses para completar y la estructura de las warrants introducen riesgos de diluci贸n y de cronograma t铆picos de los veh铆culos SPAC.

LightWave Acquisition Corp. (雮橃姢雼�: LWACU)臧€ 鞀ろ帢靺� 韻柬彫歃� 鞚胳垬須岇偓(SPAC) 斓滌磮瓿店皽(IPO)毳� 鞕勲頄堨姷雼堧嫟. 2025雲� 6鞗� 30鞚检瀽 8-K 氤搓碃靹滌棎霐半ゴ氅�, 2025雲� 6鞗� 26鞚� 須岇偓電� 2,156毵� 2,500 雼渼(鞝勳泊齑堦臣氚办爼鞓奠厴韽暔)毳� 雼渼雼� 10.00雼煬鞐� 韺愲Г毳� 毵堦皭頃橃棳 2鞏� 1,562毵� 5觳� 雼煬鞚� 齑� 靾橃澋鞚� 彀届稖頄堨姷雼堧嫟. 臧� 雼渼電� 韥措灅鞀� A 氤错喌欤� 1欤检檧頄夓偓臧€ 11.50雼煬鞚� 鞗岆煱韸� 0.5臧滊ゼ韽暔頃╇媹雼�.

霃欖嫓鞐� 鞀ろ彴靹滌檧 BTIG電� 霃欖澕頃� 10.00雼煬臧€瓴╈溂搿� 齑� 606,250 雼渼鞚� 靷 氚办爼鞚� 甑Г頄堨姷雼堧嫟. IPO鞕€ 靷 氚办爼靾橃澋頃╆硠鞚� 2鞏� 1,562毵� 5觳� 雼煬(755毵� 雼煬鞚� 鞐瓣赴霅� 鞚胳垬靾橃垬耄� 韽暔)電� Continental Stock Transfer & Trust臧€ 甏€毽晿電� 氙戈淡靻岇灛鞁犿儊瓿勳鞐� 鞓堨箻霅橃棃鞀惦媹雼�. 鞛愱笀鞚€ (i) 靷梾瓴绊暕, (ii) 24臧滌洈雮� 瓯半灅氙胳檮耄� 鞁� 靸來櫂, 霕愲姅 (iii) 欤检＜鞀轨澑臧滌爼鞁滉箤歆€ 鞝滍暅霅╇媹雼�.

氤搓碃靹滊姅霕愴暅 SPAC鞐� 鞚茧皹鞝侅澑欤检殧瓿勳暯靹� 觳搓舶靷嫟鞚� 瓿店皽頄堨溂氅�, 鞐赴鞐愲姅鞚胳垬瓿勳暯靹�(BTIG), 鞗岆煱韸� 瓿勳暯靹�, 韴瀽甏€毽� 鞁犿儊瓿勳暯靹�, 霌彪 甓岆Μ 瓿勳暯靹�, 霊� 瓯挫潣靷 氚办爼甑Г 瓿勳暯靹�, 頄夓爼靹滊箘鞀� 瓿勳暯靹� 氚� 鞛勳洂瓿� 鞚挫偓鞐� 雽€頃� 氅挫眳瓿勳暯靹滉皜韽暔霅╇媹雼�.

旮办梾歆€氚瓣惮臁� 氤€瓴�: 2025雲� 6鞗� 24鞚检棎靹� 氇呾潣霃呺 鞚挫偓鈥旊氩勴姼順胳箻氩勱犯(臧愳偓鞙勳洂鞛�), 靸’ S. 敫旊爤韥ḿ, 鞎煱 C. 霐旍簮鞀�(氤挫儊鞙勳洂鞛�)鈥旉皜鞚挫偓須岇棎頃╇頄堨姷雼堧嫟. LightWave電� IPO 膦呺鞚茧秬韯� 須牓鞚� 氚滌儩頃橂姅靾橃爼氚� 鞛爼牍勲悳鞝曣磤霃� 毂勴儩頄堨姷雼堧嫟.

韴瀽鞛愲ゼ鞙勴暅欤检殧靷暛:

鞕勲霅� 鞛愱笀臁半嫭搿� SPAC電� 鞚胳垬毳� 於旍頃橁赴鞙勴暣 2鞏� 1,562毵� 雼煬鞚挫儊鞚� 鞁犿儊鞛愱笀鞚� 頇曤炒頄堨姷雼堧嫟.
齑堦臣氚办爼鞓奠厴鞚� 鞝勲┐ 頄夓偓電� 瓿惦鞐� 雽€頃� 瓴碃頃� 靾橃殧毳� 雮橅儉雰呺媹雼�.
24臧滌洈雮� 瓯半灅鞕勲 旮瓣皠瓿� 鞗岆煱韸� 甑“電� SPAC 韸轨湢鞚� 頋劃氚� 鞚检爼鞙勴棙鞚� 雮错彫頃╇媹雼�.

LightWave Acquisition Corp. (Nasdaq : LWACU) a finalis茅 son introduction en bourse en tant que soci茅t茅 d'acquisition 脿 vocation sp茅ciale (SPAC). Le rapport 8-K dat茅 du 30 juin 2025 indique que le 26 juin 2025, la soci茅t茅 a cl么tur茅 la vente de 21 562 500 unit茅s (y compris l'option de surallocation compl猫te) 脿 10,00 $ par unit茅, g茅n茅rant 215,625 millions de dollars de produit brut. Chaque unit茅 comprend une action ordinaire de classe A et un demi-bon de souscription exer莽able 脿 11,50 $.

Simultan茅ment, le sponsor et BTIG ont achet茅 un total de 606 250 unit茅s en placement priv茅 au m锚me prix de 10,00 $. Ensemble, les produits de l'IPO et du placement priv茅鈥� 215,625 millions de dollars, incluant des frais diff茅r茅s de souscription de 7,55 millions de dollars 鈥� ont 茅t茅 d茅pos茅s sur un compte fiduciaire bas茅 aux 脡tats-Unis, g茅r茅 par Continental Stock Transfer & Trust. Les fonds sont bloqu茅s jusqu'脿 (i) une combinaison d'affaires, (ii) un remboursement si aucun accord n'est conclu dans les 24 mois, ou (iii) certaines modifications approuv茅es par les actionnaires.

Le d茅p么t r茅v猫le 茅galement la signature d'accords cl茅s habituels pour les SPAC, y compris l'accord de souscription (BTIG), l'accord de bons de souscription, l'accord de gestion du fonds fiduciaire, l'accord de droits d'enregistrement, deux accords d'achat en placement priv茅, l'accord de services administratifs et les accords d'indemnisation pour les dirigeants et administrateurs.

Modifications de la gouvernance d'entreprise : Trois administrateurs ind茅pendants 鈥� Robert Hochberg (pr茅sident du comit茅 d'audit), Charlotte S. Blechman et Allen C. Dickason (pr茅sident du comit茅 des r茅mun茅rations) 鈥� ont rejoint le conseil d'administration le 24 juin 2025. LightWave a 茅galement adopt茅 un m茅morandum et des statuts amend茅s et reformul茅s prenant effet 脿 la cl么ture de l'IPO.

Points cl茅s pour les investisseurs :

Le financement achev茅 positionne la SPAC avec plus de 215 millions de dollars en fiducie pour poursuivre une acquisition.
L'exercice complet de l'option de surallocation indique une forte demande pour l'offre.
La fen锚tre de 24 mois pour la r茅alisation et la structure des bons de souscription introduisent des risques de dilution et de calendrier typiques des v茅hicules SPAC.

LightWave Acquisition Corp. (Nasdaq: LWACU) hat seinen B枚rsengang als Special Purpose Acquisition Company (SPAC) abgeschlossen. Im 8-K-Bericht vom 30. Juni 2025 wird berichtet, dass das Unternehmen am 26. Juni 2025 den Verkauf von 21.562.500 Einheiten (einschlie脽lich der vollst盲ndigen Mehrzuteilungsoption) zu 10,00 $ pro Einheit abgeschlossen hat und dabei 215,625 Millionen US-Dollar Bruttoerl枚s erzielte. Jede Einheit enth盲lt eine Stammaktie der Klasse A und eine halbe Warrant mit Aus眉bungspreis von 11,50 $.

Gleichzeitig erwarben der Sponsor und BTIG insgesamt 606.250 Einheiten im Privatplatzierung zum gleichen Preis von 10,00 $. Die Erl枚se aus IPO und Privatplatzierung 鈥� 215,625 Millionen US-Dollar, inklusive einer aufgeschobenen Underwriting-Geb眉hr von 7,55 Millionen US-Dollar 鈥� wurden auf ein in den USA ans盲ssiges Treuhandkonto bei Continental Stock Transfer & Trust eingezahlt. Die Mittel sind bis zu (i) einer Unternehmenszusammenf眉hrung, (ii) R眉ckzahlung falls kein Deal innerhalb von 24 Monaten abgeschlossen wird, oder (iii) bestimmten von Aktion盲ren genehmigten 脛nderungen, gesperrt.

Die Einreichung offenbart au脽erdem den Abschluss wichtiger, f眉r SPACs 眉blicher Vereinbarungen, einschlie脽lich des Underwriting-Vertrags (BTIG), des Warrant-Vertrags, des Investment-Management-Treuhandvertrags, des Registrierungsrechtsvertrags, zweier Privatplatzierungs-Kaufvertr盲ge, eines Verwaltungsdienstleistungsvertrags sowie Entsch盲digungsvereinbarungen f眉r F眉hrungskr盲fte und Direktoren.

脛nderungen in der Unternehmensf眉hrung: Drei unabh盲ngige Direktoren 鈥� Robert Hochberg (Vorsitzender des Pr眉fungsausschusses), Charlotte S. Blechman und Allen C. Dickason (Vorsitzender des Verg眉tungsausschusses) 鈥� traten am 24. Juni 2025 dem Vorstand bei. LightWave hat au脽erdem eine ge盲nderte und neu gefasste Satzung mit Wirkung ab dem Abschluss der IPO angenommen.

Wesentliche Erkenntnisse f眉r Investoren:

Die abgeschlossene Finanzierung stellt der SPAC 眉ber 215 Millionen US-Dollar in einem Treuhandkonto zur Verf眉gung, um eine Akquisition zu verfolgen.
Die vollst盲ndige Aus眉bung der Mehrzuteilungsoption zeigt eine starke Nachfrage nach dem Angebot.
Das 24-monatige Abschlussfenster und die Warrant-Struktur bringen typische Verw盲sserungs- und Zeitrisiken von SPACs mit sich.

Insights

TL;DR: IPO fully subscribed, trust funded; positive capital formation but standard SPAC timeline risk.

The 8-K confirms a textbook SPAC launch. Gross proceeds of $215.6 million鈥攅nhanced by the over-allotment鈥攑rovide a sizeable acquisition war-chest. The additional 606 k private-placement units align sponsor interests without upfront dilution to public holders. Placement of all cash into a trust, less the deferred $7.5 million fee, protects investors until a de-SPAC deal is found. However, investors should recall that (1) warrants can significantly dilute post-combination equity, and (2) failure to close a deal within 24 months forces redemption at $10 plus minimal interest. Overall, the event is modestly positive: capital is secured and governance frameworks (boards, committees, indemnities) are in place, but no target has been identified.

TL;DR: Board and committee appointments strengthen oversight; indemnities standard.

LightWave鈥檚 addition of three independent directors and immediate formation of Audit and Compensation Committees satisfy Nasdaq listing and SPAC best-practice requirements, enhancing governance ahead of the business-combination search. The indemnification agreements and amended articles mirror market norms, balancing director protection with shareholder safeguards. No compensation packages were disclosed, suggesting alignment with the SPAC鈥檚 capital-preservation mandate. Governance profile is sound, supporting a favorable risk outlook.

Punti chiave per gli investitori:

Il completamento del finanziamento posiziona la SPAC con oltre 215 milioni di dollari in trust per perseguire un'acquisizione.
L'esercizio completo dell'opzione di sovrallocazione indica una domanda solida per l'offerta.
Il periodo di completamento di 24 mesi e la struttura delle warrant introducono rischi di diluizione e di tempistica tipici dei veicoli SPAC.

Puntos clave para los inversores:

La financiaci贸n completada posiciona a la SPAC con m谩s de 215 millones de d贸lares en fideicomiso para buscar una adquisici贸n.
El ejercicio completo de la opci贸n de sobreasignaci贸n indica una demanda s贸lida para la oferta.
El plazo de 24 meses para completar y la estructura de las warrants introducen riesgos de diluci贸n y de cronograma t铆picos de los veh铆culos SPAC.

韴瀽鞛愲ゼ鞙勴暅欤检殧靷暛:

鞕勲霅� 鞛愱笀臁半嫭搿� SPAC電� 鞚胳垬毳� 於旍頃橁赴鞙勴暣 2鞏� 1,562毵� 雼煬鞚挫儊鞚� 鞁犿儊鞛愱笀鞚� 頇曤炒頄堨姷雼堧嫟.
齑堦臣氚办爼鞓奠厴鞚� 鞝勲┐ 頄夓偓電� 瓿惦鞐� 雽€頃� 瓴碃頃� 靾橃殧毳� 雮橅儉雰呺媹雼�.
24臧滌洈雮� 瓯半灅鞕勲 旮瓣皠瓿� 鞗岆煱韸� 甑“電� SPAC 韸轨湢鞚� 頋劃氚� 鞚检爼鞙勴棙鞚� 雮错彫頃╇媹雼�.

Points cl茅s pour les investisseurs :

Le financement achev茅 positionne la SPAC avec plus de 215 millions de dollars en fiducie pour poursuivre une acquisition.
L'exercice complet de l'option de surallocation indique une forte demande pour l'offre.
La fen锚tre de 24 mois pour la r茅alisation et la structure des bons de souscription introduisent des risques de dilution et de calendrier typiques des v茅hicules SPAC.

Wesentliche Erkenntnisse f眉r Investoren:

Die abgeschlossene Finanzierung stellt der SPAC 眉ber 215 Millionen US-Dollar in einem Treuhandkonto zur Verf眉gung, um eine Akquisition zu verfolgen.
Die vollst盲ndige Aus眉bung der Mehrzuteilungsoption zeigt eine starke Nachfrage nach dem Angebot.
Das 24-monatige Abschlussfenster und die Warrant-Struktur bringen typische Verw盲sserungs- und Zeitrisiken von SPACs mit sich.

06/30/2025 - 05:09 PM

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 25, 2025

CERO THERAPEUTICS HOLDINGS, INC.

(Exact name of Registrant as Specified in Its Charter)

Delaware

001-40877

81-4182129

(State or Other Jurisdiction of Incorporation)

(Commission File Number)

(IRS Employer

Identification No.)

201 Haskins Way, Suite 230
South San Francisco, California		94080
(Address of Principal Executive Offices)		(Zip Code)

Registrant’s Telephone Number, Including Area Code: 650-407-2376

(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, $0.0001 par value per share

CERO

Nasdaq Capital Market

Warrants, each warrant exercisable for one two-thousandth 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 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

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 1.01 Entry into Material Definitive Agreement.

On June 25, 2025, CERo Therapeutics Holdings, Inc. (the “Company”) entered into an amendment (the “Amendment”) to the securities purchase agreement (as amended, the “Securities Purchase Agreement”) dated as of April 21, 2025, pursuant to which the Company added certain new institutional investors (the “New Investors”) to the schedule of buyers in the Securities Purchase Agreement, to issue and sell to such New Investors, in one or more closings shares of the Company’s Series D convertible preferred stock, par value $0.0001 per share (the “Series D Preferred Stock”).

The description of the terms and conditions of the Amendment does not purport to be complete and is qualified in its entirety by the full text of the form of Amendment, which is filed as Exhibit 10.2 hereto.

Item 3.02 Unregistered Sales of Equity Securities.

As previously reported on the Current Report on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on April 22, 2025, the Company entered into the Securities Purchase Agreement on April 21, 2025 with certain institutional investors (the “Investors”), pursuant to which the Company agreed to issue and sell, in one or more closings, up to 10,000 shares of the Company’s Series D Preferred Stock, which are convertible into shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), in a private placement offering. As previously reported on the Current Report on Form 8-K filed with the SEC on June 6, 2025, the Company completed an Additional Closing (as defined in the Securities Purchase Agreement) on June 5, 2025, pursuant to which the Company sold an additional 938 shares of Series D Preferred Stock for gross proceeds of approximately $750,400.

On June 25, 2025, pursuant to the Securities Purchase Agreement, the Company and certain Investors, mutually agreed to effect, and effected, an Additional Closing, with respect to 2,315 additional shares of Series D Preferred Stock for gross proceeds of approximately $1,852,000. The rights, preferences and privileges of the Series D Preferred Stock are set forth in the certificate of designations of rights and preferences of the Series D Preferred Stock (the “Certificate of Designations”), filed with the Secretary of State of the State of Delaware on April 22, 2025. The offering and sale of the shares of Series D Preferred Stock were issued and, upon conversion of the Series D Preferred Stock, the shares of Common Stock underlying the Series D Preferred Stock will be issued, in each case, without registration under the Securities Act, in reliance on the exemptions provided by Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) as a transaction not involving a public offering and Rule 506 promulgated under the Securities Act as sales to accredited investors, and in reliance on similar exemptions under applicable state laws.

The description of the terms and conditions of the Securities Purchase Agreement and the Certificate of Designations do not purport to be complete and each is qualified in its entirety by the full text of Securities Purchase Agreement and the Certificate of Designations, as applicable, which are filed as exhibits to the Company’s Current Reports on Form 8-K filed on April 22, 2025 and on April 25, 2025, respectively.

Item 9.01 Financial Statements and Exhibits.

(d)

Exhibit Number		Description
3.1†		Certificate of Designation of Preferences, Rights and Limitations of the Series D Convertible Preferred Stock, dated April 22, 2025 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K (File No. 001-40877) filed on April 25, 2025).
10.1†		Securities Purchase Agreement, dated of April 21, 2025, by and among CERo Therapeutics Holdings, Inc., and the investors signatory thereto (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K (File No. 001-40877) filed on April 22, 2025).
10.2*†		Form of Amendment to the Securities Purchase Agreement.
104		Cover Page Interactive Data File-the cover page XBRL tags are embedded within the Inline XBRL document.

†

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

Filed herewith.

SIGNATURES

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.

Date: June 30, 2025	By:	/s/ Chris Ehrlich
		Chris Ehrlich
		Chief Executive Officer

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