Form 8-K - Current report
01 Maggio 2024 - 10:13PM
Edgar (US Regulatory)
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2024-04-30
2024-04-30
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2024-04-30
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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):
April 30, 2024
CERO THERAPEUTICS HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-40877 |
|
87-1088814 |
(State or other jurisdiction of
incorporation or organization) |
|
(Commission File Number) |
|
(I.R.S. Employer
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 Global Market |
Warrants, each whole warrant exercisable for one 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 5.07. Submission of Matters to a Vote of Security Holders.
On April 30, 2024, CERo Therapeutics
Holdings, Inc., a Delaware corporation (the “Company”), held a special meeting with its stockholders (the “Special Meeting”)
at 5:00 p.m. Eastern Time for the purposes of considering and voting upon the proposals below (the “Proposals”). As of the
record date of March 20, 2024, there were a total of 14,706,692 shares of the Company’s common stock, par value $0.0001 per share
(the “Common Stock”), issued and outstanding and entitled to vote at the Special Meeting. There were 8,374,102 shares of Common
Stock present at the Special Meeting in person or represented by proxy, or approximately 56.9% 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 Company’s Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April
15, 2024.
|
Proposal 1. |
To ratify the appointment of Wolf & Company, P.C. as the Company’s independent registered public accounting firm for the 2024 fiscal year. |
FOR |
|
ABSTAIN |
|
AGAINST |
8,321,662 |
|
7,562 |
|
44,878 |
|
Proposal 2. |
To approve, subject to certain conditions, the issuance of the Common Stock, in accordance with Nasdaq Listing Rule 5635, upon (i) the conversion of the Company’s Series A convertible preferred stock, par value $0.0001 per share (“Series A Preferred Stock”), (ii) the conversion of the Company’s Series B convertible preferred stock, par value $0.0001 per share, (iii) the exercise of warrants to purchase Common Stock and (iv) the exercise of warrants to purchase 2,500 shares of Series A Preferred Stock and conversion of the underlying Series A Preferred Stock. |
FOR |
|
ABSTAIN |
|
AGAINST |
8,308,766 |
|
6,621 |
|
58,715 |
|
Proposal 3. |
To approve, subject to certain conditions, the issuance of shares of Common Stock, in accordance with Nasdaq Listing Rule 5635, pursuant to the Committed Equity Financings (as defined in the Proxy Statement). |
FOR |
|
ABSTAIN |
|
AGAINST |
8,303,706 |
|
6,581 |
|
63,815 |
|
Proposal 4. |
To approve an amendment to the Company’s 2024 Equity Incentive Plan (the “Plan”), as amended, amended 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 2,000,000 shares. |
FOR |
|
ABSTAIN |
|
AGAINST |
8,234,447 |
|
5,614 |
|
134,041 |
Proposal 5 was not presented
to the stockholders because the foregoing resolutions were approved.
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. |
|
|
|
|
By: |
/s/ Brian G. Atwood |
|
Name: |
Brian G. Atwood |
|
Title: |
Chief Executive Officer |
Dated: May 1, 2024 |
|
|
v3.24.1.u1
Cover
|
Apr. 30, 2024 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Apr. 30, 2024
|
Entity File Number |
001-40877
|
Entity Registrant Name |
CERO THERAPEUTICS HOLDINGS, INC.
|
Entity Central Index Key |
0001870404
|
Entity Tax Identification Number |
87-1088814
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
201 Haskins Way
|
Entity Address, Address Line Two |
Suite 230
|
Entity Address, City or Town |
South San Francisco
|
Entity Address, State or Province |
CA
|
Entity Address, Postal Zip Code |
94080
|
City Area Code |
(650)
|
Local Phone Number |
407-2376
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Entity Emerging Growth Company |
true
|
Elected Not To Use the Extended Transition Period |
false
|
Common stock, par value $0.0001 per share |
|
Title of 12(b) Security |
Common stock, par value $0.0001 per share
|
Trading Symbol |
CERO
|
Security Exchange Name |
NASDAQ
|
Warrants, each whole warrant exercisable for one share of common stock |
|
Title of 12(b) Security |
Warrants, each whole warrant exercisable for one share of common stock
|
Trading Symbol |
CEROW
|
Security Exchange Name |
NASDAQ
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