| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| TSSP Sub-Fund HoldCo LLC | Former 10% Owner | C/O SIXTH STREET PARTNERS, LLC, 2100 MCKINNEY AVENUE, SUITE 1500, DALLAS | TSSP Sub-Fund Holdco, LLC, By: /s/ Joshua Peck, Vice President | 23 Jun 2025 | 0001677508 |
| Waxman Alan | Former 10% Owner | 1 LETTERMAN DRIVE, BUILDING B, SUITE B6-100, SAN FRANCISCO | Alan Waxman By: /s/ Joshua Peck, on behalf of Alan Waxman | 23 Jun 2025 | 0001515132 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAI | Common Stock | Conversion of derivative security | +1,721,015 | 1,721,015 | 20 Jun 2025 | Held by Barnett Equity Holdings, LLC | F1, F5, F7 | |||
| transaction | CAI | Common Stock | Conversion of derivative security | +3,881,988 | 3,881,988 | 20 Jun 2025 | Held by TOP III Barnett Investments, LLC | F1, F5, F7 | |||
| transaction | CAI | Common Stock | Conversion of derivative security | +3,493,789 | 3,493,789 | 20 Jun 2025 | Held by TAO Barnett Investments LLC | F1, F5, F7 | |||
| transaction | CAI | Common Stock | Conversion of derivative security | +478,779 | 478,779 | 20 Jun 2025 | Held by Sixth Street Specialty Lending, Inc. | F1, F6, F7 | |||
| transaction | CAI | Common Stock | Conversion of derivative security | +531,746 | +111% | 1,010,525 | 20 Jun 2025 | Held by Sixth Street Specialty Lending, Inc. | F2, F6, F7 | ||
| transaction | CAI | Common Stock | Conversion of derivative security | +10,103,175 | 10,103,175 | 20 Jun 2025 | Held by Barnett Equity Holdings II, LLC | F2, F5, F7 | |||
| transaction | CAI | Common Stock | Exercise of in-the-money or at-the-money derivative security | +2,255,048 | +131% | 3,976,063 | 20 Jun 2025 | Held by Barnett Equity Holdings, LLC | F3, F5, F7 | ||
| transaction | CAI | Common Stock | Exercise of in-the-money or at-the-money derivative security | +118,687 | +12% | 1,129,212 | 20 Jun 2025 | Held by Sixth Street Specialty Lending, Inc. | F3, F6, F7 | ||
| transaction | CAI | Common Stock | Exercise of in-the-money or at-the-money derivative security | +1,711,113 | +43% | 5,687,176 | 20 Jun 2025 | Held by Barnett Equity Holdings, LLC | F4, F5, F7 | ||
| transaction | CAI | Common Stock | Exercise of in-the-money or at-the-money derivative security | +90,059 | +8% | 1,219,271 | 20 Jun 2025 | Held by Sixth Street Specialty Lending, Inc. | F4, F6, F7 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAI | Series C Preferred Stock | Conversion of derivative security | $0 | -6,884,058 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 1,721,015 | Held by Barnett Equity Holdings, LLC | F1, F5, F7 | |
| transaction | CAI | Series C Preferred Stock | Conversion of derivative security | $0 | -15,527,951 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 3,881,988 | Held by TOP III Barnett Investments, LLC | F1, F5, F7 | |
| transaction | CAI | Series C Preferred Stock | Conversion of derivative security | $0 | -13,975,155 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 3,493,789 | Held by TAO Barnett Investments LLC | F1, F5, F7 | |
| transaction | CAI | Series C Preferred Stock | Conversion of derivative security | $0 | -1,915,114 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 478,779 | Held by Sixth Street Specialty Lending, Inc. | F1, F6, F7 | |
| transaction | CAI | Series D Preferred Stock | Conversion of derivative security | $0 | -1,240,740 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 531,746 | Held by Sixth Street Specialty Lending, Inc. | F2, F6, F7 | |
| transaction | CAI | Series D Preferred Stock | Conversion of derivative security | $0 | -23,574,073 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 10,103,175 | Held by Barnett Equity Holdings II, LLC | F2, F5, F7 | |
| transaction | CAI | 2018 Warrants | Exercise of in-the-money or at-the-money derivative security | $0 | -13,009,892 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 2,255,048 | Held by Barnett Equity Holdings, LLC | F3, F5, F7 | |
| transaction | CAI | 2018 Warrants | Exercise of in-the-money or at-the-money derivative security | $0 | -684,731 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 118,687 | Held by Sixth Street Specialty Lending, Inc. | F3, F6, F7 | |
| transaction | CAI | 2020 Warrants | Exercise of in-the-money or at-the-money derivative security | $0 | -10,829,823 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 1,711,113 | Held by Barnett Equity Holdings, LLC | F4, F5, F7 | |
| transaction | CAI | 2020 Warrants | Exercise of in-the-money or at-the-money derivative security | $0 | -569,991 | -100% | $0.000000 | 0 | 20 Jun 2025 | Common Stock | 90,059 | Held by Sixth Street Specialty Lending, Inc. | F4, F6, F7 |
TSSP Sub-Fund HoldCo LLC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | Each share of Series C Preferred Stock of Caris Life Sciences, Inc. (the "Issuer") was convertible at the option of the holder into 0.25 shares of common stock $.001 par value of the Issuer (the "Common Stock") and automatically converted into Common Stock immediately prior to and in connection with the closing of the Issuer's initial public offering (the "IPO"). The number of shares received upon conversion reflects certain adjustments pursuant to the terms of the Issuer's amended and restated certificate of formation (the "Charter"), in connection with the IPO. The Series C Preferred Stock had no expiration date. |
| F2 | Each share of Series D Preferred Stock of the Issuer was convertible at the option of the holder into 0.25 shares of Common Stock of the Issuer and automatically converted into Common Stock immediately prior to and in connection with the closing of the Issuer's IPO. The number of shares received upon conversion reflects certain adjustments pursuant to the terms of the Issuer's Charter, in connection with the IPO. The Series D Preferred Stock had no expiration date. |
| F3 | The 2018 warrants were exercisable at the option of the holder into shares of Series C Preferred Stock of the Issuer at an exercise price of $1.61 per share and into Common Stock at an exercise price of $6.44 per share. Immediately prior to and in connection with the closing of the Issuer's IPO, the 2018 warrants were exercised on a cashless basis into shares of Series C Preferred Stock which then automatically converted into Common Stock. The number of shares received upon conversion reflects certain adjustments pursuant to the terms of the Issuer's Charter, in connection with the IPO. |
| F4 | The 2020 warrants were exercisable into Series C preferred stock at a price of $1.93 per share and into Common Stock at a price of $7.73 per share. Immediately prior to and in connection with the closing of the Issuer's IPO the 2020 warrants were exercised on a cashless basis into shares of Series C Preferred Stock which then automatically converted into Common Stock. The number of shares received upon conversion reflects certain adjustments pursuant to the terms of the Issuer's Charter, in connection with the IPO. |
| F5 | TSSP Sub-Fund Holdco, LLC, a Delaware limited liability company ("Sub-Fund HoldCo"), is the sole member of each of TAO SPV GP, LLC, a Delaware limited liability company ("TAO SPV"), and Empire SPV GP, LLC, a Delaware limited liability company ("Empire SPV"). TAO SPV is the managing member of each of (i) Barnett Equity Holdings, LLC; (ii) Barnett Equity Holdings II LLC; and (iii) TAO Barnett Investments LLC. Empire SPV is the managing member of TOP III Barnett Investments, LLC. |
| F6 | TSSP Holdco Management, LLC, a Delaware limited liability company ("Holdco Management"), manages Sixth Street Specialty Lending Advisers Holdings, LLC, a Delaware limited liability company ("Adviser Holdings"). The business and affairs of Sixth Street Specialty Lending Advisers, LLC, a Delaware limited liability company ("Adviser"), are managed by Adviser Holdings, the sole member of Adviser. Sixth Street Specialty Lending, Inc. is managed by Adviser. |
| F7 | Sub-Fund HoldCo is managed by its sole member, whose managing member is Alan Waxman ("Mr. Waxman"). Holdco Management is managed by a board of directors, which is currently comprised of Mr. Waxman. Mr. Waxman is the CEO of Holdco Management. Each Reporting Person disclaims beneficial ownership over the reported securities herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of its or his pecuniary interest therein. |
Joshua Peck is signing on behalf of Mr. Waxman pursuant to an authorization and designation letter dated December 31, 2024, which was previously filed with the Commission as an exhibit to the Form 3 filed by Mr. Waxman on June 17, 2025.