ATWOOD BRIAN G 4

4 · CERO THERAPEUTICS HOLDINGS, INC. · Filed Oct 2, 2024

Form 4

Period: 2024-09-25

Director

Transactions

Exercise/Conversion
Common Stock
2024-09-25+19,358,578→ 19,607,313 total(indirect: By Trust)
Exercise/Conversion
Series A Convertible Preferred Stock
2024-09-25$1000.00/sh−1,002$1,002,000→ 0 total(indirect: By Trust)
→ Common Stock (19,358,578 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2024-09-30−13,857→ 0 total
Exercise: $5.28Exp: 2030-12-27→ Common Stock (13,857 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2024-09-30−1,317,956→ 0 total
Exercise: $1.77Exp: 2034-03-24→ Common Stock (1,317,956 underlying)

Holdings

Footnotes (3)

[F1]On September 25, 2024, the Reporting Person converted an aggregate of 1,002 shares of Series A Preferred Stock into 19,358,578 shares of Common Stock. Each share of Series A Preferred Stock has a stated value of $1,000 and, at the option of the holder, is convertible into a number of shares of Common Stock determined by dividing (x) the value of the shares of Series A Preferred Stock, plus any additional amounts thereon as of such date of determination, by (y) the conversion price of $1.00. As a result of various adjustments in the terms of the Series A Preferred Stock, each $1,000 of Series A Preferred Stock was converted into 19,320 shares of common stock. The Series A Preferred Stock has no expiration date.
[F2]The reporting person is the trustee of the Atwood-Edminster Trust dtd 4-2-2000 (the "Atwood-Edminster Trust") and has sole voting and disposition power with respect to the shares owned by the Atwood-Edminster Trust.
[F3]Represents the forfeiture of employee stock options in connection with the Reporting Person's resignation as Chief Executive Officer of the Issuer.

Documents

1 file