David D. Halbert - 25 Mar 2025 Form 4 Insider Report for Caris Life Sciences, Inc.

Reporting relationship: Officer, Director, 10%+ Owner
Issuer ticker: CAI on Nasdaq
Reported as of: 25 Mar 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 23 Jun 2025, 18:33:22 UTC
Next SEC filing: 17 Jun 2025
Source filing: View source filing
Reporting owner signature: David Halbert, /s/ J. Russel Denton, Attorney-in-Fact

Key filing fact

David D. Halbert filed Form 4 for Caris Life Sciences, Inc. on 23 Jun 2025.

Key facts

This page summarizes David D. Halbert's Form 4 filing for Caris Life Sciences, Inc..
5 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 23 Jun 2025, 18:33.

Change

No earlier filing in this sequence is available for direct comparison.
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

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (2)

CIK 0001034380 Primary reporting owner

HALBERT DAVID D

Relationship: Officer, 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: 23 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: 23 Jun 2025

Reported non-derivative transactions

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

CAI transaction

Common Stock

Award

Transaction value: $0
Shares: +360,750
Change %: +22%
Price: $0.000000
Shares after: 2,023,250
Date: 25 Mar 2025
Ownership: Direct
Footnotes: F1

CAI transaction

Common Stock

Award

Transaction value: $0
Shares: +413,839
Change %: +20%
Price: $0.000000
Shares after: 2,437,089
Date: 18 Jun 2025
Ownership: Direct
Footnotes: F2

CAI transaction

Common Stock

Conversion of derivative security

Transaction value: $0
Shares: +104,761,535
Change %: +644%
Price: $0.000000
Shares after: 121,025,002
Date: 20 Jun 2025
Ownership: See Footnotes
Footnotes: F3, F4, F5

Reported derivative securities

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

CAI transaction Derivative

Series A Preferred Stock

Conversion of derivative security

Transaction value
Shares: -389,416,484
Change %: -100%
Price
Shares after: 0
Date: 20 Jun 2025
Ownership: See Footnotes
Underlying class: Common Stock
Underlying amount: 97,354,127
Exercise price: $0.000000
Footnotes: F3, F5, F6

CAI transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value
Shares: -29,629,630
Change %: -100%
Price
Shares after: 0
Date: 20 Jun 2025
Ownership: See Footnotes
Underlying class: Common Stock
Underlying amount: 7,407,408
Exercise price: $0.000000
Footnotes: F3, F5, F6

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 6 footnotes

Footnote F1

Represents an award of restricted stock units that vest in accordance with the applicable grant agreement. These restricted stock units were previously reported on the Reporting Person's Form 3. All the securities reported in this Form 4 reflect a one-for-four reverse stock split effected as of June 1, 2025.

Footnote F2

Represents an award of restricted stock units that vest in accordance with the applicable grant agreement.

Footnote F3

Each share of preferred stock automatically converted into 0.25 shares of Common Stock of the Issuer upon the closing of the initial public offering of the Issuer's Common Stock.

Footnote F4

The Common Stock reported herein includes (i) 101,261,532 shares of Common Stock held of record by Caris Halbert, L.P, (ii) 8,528,805 shares of Common Stock held of record by ADAPT I Ltd., (iii) 8,414,427 shares of Common Stock held of record by Carisome I, L.P., (iv) 645,149 shares of Common Stock held of record by Caris Investment II Ltd, and (v) 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.

Footnote F5

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 F6

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.

SEC remarks

Founder, Chairman, and Chief Executive Officer; ADAPT I Ltd. and Carisome I, L.P. are filing a separate Form 4 with respect to the transactions reported herein.