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Form 8-K

sec.gov
CEROW The article mentions warrants (CEROW) in the context of the company's securities. As this is a standard disclosure related to the company's financial instruments and not a specific event impacting the warrants themselves, the sentiment is neutral. CERO The company entered into a material definitive agreement for a convertible promissory note issuance, which is a standard financial filing. The details of the note and its conversion terms are disclosed, but no immediate positive or negative impact is evident from this filing alone.

8-K — CERO THERAPEUTICS HOLDINGS, INC.

Accession: 0001213900-26-043519

Filed: 2026-04-14

Period: 2026-04-08

CIK: 0001870404

SIC: 2836 (BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES))

Item: Entry into a Material Definitive Agreement

Item: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

Item: Unregistered Sales of Equity Securities

Item: Financial Statements and Exhibits

Documents

8-K — ea0286319-8k_cero.htm (Primary)

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8-K — CURRENT REPORT

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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 8, 2026

CERO

THERAPEUTICS HOLDINGS, INC.

(Exact

name of registrant as specified in its charter)

Delaware

001-40877

81-4182129

(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

None

Warrants,

each warrant exercisable for one two-thousandths of a share of Common Stock

CEROW

None

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

1.01 Entry into a Material Definitive Agreement.

On

April 8, 2026, CERo Therapeutics Holdings, Inc., a Delaware corporation (the “Company”) issued and sold a convertible promissory

note for an purchase price of $350,000, having a principal face value of $437,500 (the “Note”) to Keystone Capital Partners,

LLC (“Lender”). Pursuant to the Note, the Company may borrow, from time to time thereunder, up to a maximum aggregate amount

not to exceed a sum of $1,000,000. The Note bears interest at a rate of 10% per annum, matures on April 9, 2027, and is convertible into

shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”). At any time after the issuance

of the Note, the Lender, at its option, is entitled to convert all or any lesser portion of the outstanding principal amount and accrued

but unpaid interest into Common Stock at a conversion price equal to the lesser of (i) $0.05 and (ii) 80% of the average of the 5 (five)

lowest intraday trading prices during the 20 (twenty) days prior to the day that the Lender requests conversion, unless otherwise modified

by mutual agreement between the parties, subject to certain adjustments and limitations, including a beneficial ownership limitation

of 4.99%.

Pursuant

to the terms of the Note, the Company shall prepare and file with the U.S. Securities and Exchange Commission (the “SEC”),

a registration statement on Form S-1 or S-3, covering the resale of all of the shares of Common Stock issuable upon the conversion of

the Note.

The

issuance of the Note was made in reliance upon the exemption from registration provided by Section 4(a)(2) of the Securities Act of 1933,

as amended (the “Securities Act”), and Rule 506(b) promulgated thereunder. The Note and the shares of Common Stock issuable

upon conversion thereof have not been registered under the Securities Act and may not be offered or sold in the United States absent

registration or an applicable exemption from registration requirements.

The

foregoing description of the Note is qualified in its entirety by reference to the full text of such document, a copy of which was previously

filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed on February 13, 2026 and is incorporated herein by reference.

Item

2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The

information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 2.03.

Item

3.02 Unregistered Sales of Equity Securities.

The

information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. The issuance

of the Note was made in reliance on the exemption provided by Section 4(a)(2) of the Securities Act, for the offer and sale of securities

not involving a public offering. The Company’s reliance upon Section 4(a)(2) of the Securities Act in issuing the Notes was based

upon the following factors: (a) the issuance of the Note was an isolated private transaction by us which did not involve a public offering;

(b) the Lender is an accredited investor; (c) the Company did not engage in general solicitation or advertising in connection with

the issuance; and (d) the Lender represented that, among other things, it was acquiring the securities for investment purposes only

and not with a view to distribution, it has received information about the Company necessary to make an informed investment decision,

and the Lender is capable of evaluating the merits and risks of its investment. Any shares of Common Stock issuable upon conversion of

the Note will be issued in reliance on the exemption from registration provided by Section 3(a)(9) or Section 4(a)(2) of the Securities

Act.

Item 9.01

Financial Statements and Exhibits.

(d)

Exhibits

Exhibit

No.

Description

4.1

Form of Note (incorporated by reference to Exhibit 4.1 of the Company’s Current Report on Form 8-K (File No. 001-40877) filed on February 13, 2026).

104

Cover

Page Interactive Data File (embedded within the Inline XBRL document).

1

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.

Dated:

April 14, 2026

CERO

THERAPEUTICS HOLDINGS, INC.

By:

/s/

Chris Ehrlich

Name:

Chris

Ehrlich

Title:

Chief

Executive Officer

2

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THERAPEUTICS HOLDINGS, INC.

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Entity Tax Identification Number

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Entity Address, Address Line One

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Entity Address, City or Town

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