Ownership Submission
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL
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OMB Number: 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response... 0.5
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1. Name and Address of Reporting Person *
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SLOAN STUART M
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2. Date of Event Requiring Statement (Month/Day/Year)
2024-09-24
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3. Issuer Name and Ticker or Trading Symbol
CERO THERAPEUTICS HOLDINGS, INC. [CERO]
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(Last)
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(First)
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(Middle)
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C/O SLOAN CAPITAL COMPANIES , 4734 25TH AVENUE NE
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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5. If Amendment, Date Original Filed (Month/Day/Year)
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(Street)
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SEATTLE
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WA
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98105
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6. Individual or Join/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
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2. Amount of Securities Beneficially Owned
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3. Ownership Form: Direct (D) or Indirect (I)
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4. Nature of Indirect Beneficial Ownership
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
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2. Date Exercisable and Expiration Date
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3. Title and Amount of Securities Underlying Derivative Security
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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6. Nature of Indirect Beneficial Ownership
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SLOAN STUART M
C/O SLOAN CAPITAL COMPANIES
4734 25TH AVENUE NE
SEATTLE, WA98105
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X
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Signatures
/s/ Stuart Sloan
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2024-11-20
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**Signature of Reporting Person
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Date
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Explanation of Responses:
(*)
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**)
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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On September 24, 2024, 10,720 shares of Series A Preferred Stock beneficially previously acquired by the reporting person on February 14, 2024 and originally convertible into 107,200 shares of Common Stock at an original conversion price of $10.00 per share, were converted by the Issuer into 20,710,973 shares of Common Stock at an adjusted conversion price of $0.06747 per share in a Rule 16b-3 exempt transaction.
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(2)
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The shares of Common Stock are held of record and beneficially by SMS Revocable Trust. Stuart Sloan is the sole grantor and trustee of SMS Revocable Trust.
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