Filed Pursuant to Rule 424(b)(3)
Registration No. 333-283492
Prospectus Supplement No. 5
(To Prospectus dated November 27, 2024, as supplemented by
Prospectus Supplement No. 1, dated January 2, 2025
Prospectus Supplement No. 2, dated January 7, 2025
Prospectus Supplement No. 3, dated January 14, 2025 and
Prospectus Supplement No. 4, dated January 22, 2025)
CERO THERAPEUTICS HOLDINGS, INC.
210,000,000 Shares of Common Stock
This prospectus supplement no. 5 (this “Prospectus Supplement”)
amends and supplements the prospectus dated November 27, 2024 (as may be supplemented or amended from time to time, the “Prospectus”)
which forms part of our Registration Statement on Form S-1 (Registration Statement No. 333-283492). This Prospectus Supplement is being
filed to update and supplement the information included or incorporated by reference in the Prospectus with the information contained
in the attached Current Reports on Form 8-K, filed with the Securities and Exchange Commission (the “Securities and Exchange Commission”)
on February 6, 2025, and February 12, 2025 (the “Form 8-Ks”). Accordingly, we have attached the Form 8-Ks to this Prospectus
Supplement.
This Prospectus Supplement updates and supplements the information
in the Prospectus and is not complete without, and may not be delivered or utilized except in combination with, the Prospectus, including
any amendments or supplements thereto. This Prospectus Supplement should be read in conjunction with the Prospectus, and if there is any
inconsistency between the information in the Prospectus and this Prospectus Supplement, you should rely on this Prospectus Supplement.
Our common stock and public warrants are listed on Nasdaq Global Market
and Nasdaq Capital Market (collectively, “Nasdaq”) under the symbols “CERO” and “CEROW,” respectively.
On February 12, 2025, the last quoted sale price of our common stock as reported on Nasdaq was $1.80 per share and the last quoted sale
price of our public warrants as reported on Nasdaq was $0.018 per warrant.
We are an “emerging growth company” under applicable
federal securities laws and will be subject to reduced public company reporting requirements.
Investing in our securities involves a high degree of risk. Before
buying any securities, you should carefully read the discussion of the risks of investing in our securities in “Risk Factors”
beginning on page 8 of the Prospectus.
Neither the Securities and Exchange Commission nor any state securities
commission has approved or disapproved of the securities to be issued under the Prospectus or determined if the Prospectus is truthful
or complete. Any representation to the contrary is a criminal offense.
The date of this Prospectus Supplement is February
13, 2025.
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): February 5, 2025
CERO
THERAPEUTICS HOLDINGS, Inc.
(Exact
name of registrant as specified in its charter)
| Delaware |
|
001-40877 |
|
87-1088814 |
(State or Other Jurisdiction
of Incorporation) |
|
(Commission File Number) |
|
(I.R.S. Employer
Identification
No.) |
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 (§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 a Material Definitive Agreement.
On
February 5, 2025, CERo Therapeutics Holdings, Inc. (the “Company”) announced the pricing of a reasonable best efforts public
offering (the “Offering”), with participation from a member of the Company’s board of directors and a single institutional
investor, for the purchase and sale of (i) 2,551,020 shares of its common stock, par value $0.0001 per share (the “Common Stock”)
or common stock equivalents in lieu thereof; and (ii) common warrants to purchase up to 2,551,020 shares of common stock (the “Warrants”),
at a combined public offering price of $1.96 per share and Warrant. In connection with the Offering, on February 5, 2025, the Company
entered into a securities purchase agreement (the “Purchase Agreement”) with the investors. The Purchase Agreement contains
customary representations, warranties and agreements of the Company and each investor and customary indemnification rights and obligations
of the parties.
The
Warrants have an exercise price of $1.96 per share, will be immediately exercisable upon stockholder approval and will have a term of
exercise equal to five years following date of the initial exercise date. The exercise price and number of shares of Common Stock issuable
upon exercise is subject to appropriate adjustment in the event of stock dividends, stock splits, reorganizations or similar events affecting
the Common Stock and the exercise price.
In
connection with the Offering, on February 5, 2025, the Company entered into a placement agency agreement (the “Placement Agency
Agreement”) with A.G.P./Alliance Global Partners (“A.G.P.”), as the exclusive placement agent in connection with the
Offering (the “Placement Agent”). Pursuant to a side letter between the Placement Agent and JonesTrading Institutional Services
LLC (“Jones”), dated February 3, 2025, Jones agreed to be a financial advisor for the Offering. In connection with the services
provided by Jones, the Placement Agent and Jones agreed that the Placement Agent will receive an aggregate fee equal to 6% of the gross
proceeds received in the Offering and Jones will receive an aggregate fee equal to 3% of the gross proceeds received in the Offering.
In addition, the Company has agreed to reimburse the Placement Agent for its legal fees and expenses and other out-of-pocket expenses
in an amount up to $85,000, non-accountable expenses of up to $25,000 and has agreed to reimburse Jones for all reasonable and documented
out-of-pocket fees and expenses, including but not limited to travel and other out-of-pocket expenses in an amount not to exceed $15,000.
The
Company’s directors and executive officers agreed not to offer, issue, sell, contract to sell, encumber, grant any option for the
sale of or otherwise dispose of any shares of common stock or other securities convertible into or exercisable or exchangeable for common
stock for a period of 90 days following the closing date of the Offering, which terms may be waived in the sole discretion of and without
notice by the Placement Agent, subject to certain exceptions. In addition, the Company has agreed to not enter into variable rate financings
for a period of 180 days following the closing date, subject to certain exceptions, or enter into any equity financings for a period
of 60 days following the closing date, subject to certain exceptions.
The
shares of Common Stock and the Warrants described above and the shares of Common Stock underlying the Warrants were offered pursuant
to the Registration Statement on Form S-1 (File No. 333-284007), as amended, which was declared effective by the Securities and Exchange
Commission on January February 5, 2025.
The
closing of the Offering is expected to occur on February 7, 2025. The Company expects to receive gross proceeds of approximately $5 million,
before deducting the estimated offering expenses payable by the Company, including the Placement Agent and financial advisory fees. The
Company intends to use the net proceeds from the Offering for advancement of its clinical programs and working capital and other general
corporate purposes.
The
foregoing summaries of the Placement Agency Agreement, the Warrants and the Purchase Agreement do not purport to be complete and are
subject to, and qualified in their entirety by, the forms of such documents, which are filed as exhibits 1.1, 4.1 and 10.1 to this Current
Report on Form 8-K, respectively, which are incorporated by reference.
Item
8.01 Other Events.
The
Company issued a press release announcing the pricing of the Offering on February 5, 2025. A copy of the press release is furnished herewith
as Exhibit 99.1.
Item
9.01. Financial Statements and Exhibits.
(d)
Exhibits.
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. |
| |
|
|
| Date: February 6, 2025 |
By: |
/s/ Chris Ehrlich |
| |
|
Chris Ehrlich |
| |
|
Chief Executive Officer |
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):
February 12, 2025
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 Capital 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 8.01 Other Events.
On February 12, 2025, CERo Therapeutics Holdings,
Inc. (the “Company”) received a letter from the Nasdaq Stock Market LLC (“Nasdaq”) confirming that the Company
has regained compliance with the minimum bid price requirement set forth in Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”)
and has applied and been moved to the Nasdaq Capital Market, as required by the panel convened by Nasdaq (the “Nasdaq Panel”).
Regaining compliance with the Bid Price Requirement
is one of the conditions set forth by the Nasdaq Panel in its previously disclosed decision granting the Company’s request for an
extension (the “Extension”) to regain compliance with certain Nasdaq continued listing requirements until April 22, 2025.
The Company continues to make progress towards satisfaction of the other conditions.
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.
| Date: February 12, 2025 |
CERO THERAPEUTICS HOLDINGS, INC. |
| |
|
|
| |
By: |
/s/ Chris Ehrlich |
| |
Name: |
Chris Ehrlich |
| |
Title: |
Chief Executive Officer |
CERo Therapeutics (NASDAQ:CEROW)
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