David D. Halbert - 17 Jun 2025 Form 3 Insider Report for Caris Life Sciences, Inc.

Reporting relationship
Founder, Chairman, and Chief Executive Officer. Exhibit 24 - Power of Attorney., Director, 10%+ Owner
Issuer ticker
CAI on Nasdaq
Reported as of
17 Jun 2025
Net transaction value
$0
Source evidence Original filing metadata and source links for verification. 5 source fields
SEC form
3
Accepted by SEC
17 Jun 2025, 21:33:09 UTC
Prior SEC filing
23 Jun 2025
Next SEC filing
13 Aug 2025
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
David Halbert, /s/ J. Russel Denton, Attorney-in-Fact

Key filing fact

David D. Halbert filed Form 3 for Caris Life Sciences, Inc. on 17 Jun 2025.

Key facts

  • This page summarizes David D. Halbert's Form 3 filing for Caris Life Sciences, Inc..
  • 0 reported transactions and 3 derivative rows are listed below.
  • Accepted by SEC: 17 Jun 2025, 21:33.

Change

  • Previous filing in this sequence was filed on 23 Jun 2025.
  • Current net transaction value: $0.

Research use

  • This tells you what this filing adds before you inspect full transaction and derivative tables.
  • You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 3 disclosures.

View source filing

Reporting Owners (4)

CIK 0001034380 Primary reporting owner

HALBERT DAVID D

Relationship
Founder, Chairman, and Chief Executive Officer. Exhibit 24 - Power of Attorney., Director, 10%+ Owner
Address
C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING
Signature
David Halbert, /s/ J. Russel Denton, Attorney-in-Fact
Signature date
17 Jun 2025
CIK 0002072109

Caris Halbert, L.P.

Relationship
Director, 10%+ Owner
Address
C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING
Signature
Caris Halbert, L.P., /s/ J. Russel Denton, Attorney-in-Fact
Signature date
17 Jun 2025
CIK 0002072411

ADAPT I Ltd.

Relationship
Director, 10%+ Owner
Address
C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING
Signature
ADAPT I Ltd., /s/ J. Russel Denton, Attorney-in-Fact
Signature date
17 Jun 2025
CIK 0002072412

Carisome I, L.P.

Relationship
Director, 10%+ Owner
Address
C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING
Signature
Carisome I, L.P., /s/ J. Russel Denton, Attorney-in-Fact
Signature date
17 Jun 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CAI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
2,023,250
Date
17 Jun 2025
Ownership
Direct
Footnotes
F1
CAI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
16,263,467
Date
17 Jun 2025
Ownership
See Footnote
Footnotes
F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CAI holding Derivative

Series A Preferred Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
17 Jun 2025
Ownership
See Footnote
Underlying class
Common Stock
Underlying amount
97,354,127
Exercise price
$0.000000
Footnotes
F2, F3, F4
CAI holding Derivative

Series B Preferred Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
17 Jun 2025
Ownership
See Footnote
Underlying class
Common Stock
Underlying amount
7,407,408
Exercise price
$0.000000
Footnotes
F2, F3, F4
CAI holding Derivative

Stock Option

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
17 Jun 2025
Ownership
Direct
Underlying class
Common Stock
Underlying amount
2,000,000
Exercise price
$2.44
Footnotes
F5
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

Includes 360,750 shares of Common Stock underlying restricted stock units which vest in accordance with the applicable grant agreement.

Footnote F2

The Common Stock reported herein includes (i) 5,028,802 shares of Common Stock held of record by ADAPT I Ltd., (ii) 8,414,427 shares of Common Stock held of record by Carisome I, L.P., (iii) 645,149 shares of Common Stock held of record by Caris Investment II Ltd and (iv) 2,175,089 shares of Common Stock held of record by Caris Investment III Ltd. Caris Investment Management, LLC is the general partner of each of Caris Halbert, L.P., Caris Investment II Ltd., and Caris Investment III Ltd. Two family trusts are separately the general partner of ADAPT I Ltd. and the managing general partner of Carisome I, L.P., respectively. David D. Halbert is the managing member of Caris Investment Management, LLC and the trustee of each of the two family trusts, and in such capacities, has voting and investment power with respect to the shares held of record by each of the foregoing entities. Mr. Halbert disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Footnote F3

Each share of preferred stock is convertible at the holder's option into 0.25 shares of Common Stock of the Issuer, subject to adjustment in accordance with the certificate of formation, and will automatically convert upon the closing of the initial public offering of the Issuer's Common Stock.

Footnote F4

The preferred stock reported herein includes (i) 3,500,003 shares of Common Stock underlying Series A Preferred Stock held of record by ADAPT I Ltd., (ii) 93,854,124 shares of Common Stock underlying Series A Preferred Stock held of record by Caris Halbert, L.P. and (iii) 7,407,408 shares of Common Stock underlying Series B Preferred Stock held of record by Caris Halbert, L.P. Mr. Halbert disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Footnote F5

The stock option is fully vested and exercisable.

SEC remarks

Founder, Chairman, and Chief Executive Officer. Exhibit 24 - Power of Attorney.

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