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$CAI All transactions

Caris Life Sciences, Inc.

C

$ Value

Shares

29,629,630

Price

Filed

Jun 23

Insider

Name

HALBERT DAVID D

Title

See Remarks

CIK

0001034380

Roles

Director Officer 10% Owner

Transaction Details

Transaction Date

2025-06-20

Code

C

Table

Derivative

Ownership

Indirect

Equity Swap

No

Shares After

Footnotes

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

Filing Info

Accession No.

0001104659-25-061808

Form Type

4

Issuer CIK

0002019410

HALBERT DAVID D's History

Date Ticker Type Value
2026-03-06 CAI A $0
2025-08-11 CAI F $4.2M
2025-06-20 CAI C $0
2025-06-20 CAI C
2025-06-20 CAI C
2025-06-18 CAI A $0
2025-03-25 CAI A $0

Other Insiders at CAI (90d)

Insider Bought Sold Last
HALBERT DAVID D
See Remarks
2026-03-06
HALBERT JON 2026-02-26
CASTLEMAN PETER M 2026-02-26
PHILLIPS T DANNY 2026-02-26
Vacirca Jeff L 2026-02-26
Minor Lloyd 2026-02-26
Denton John Russel
See Remarks
2026-03-06
Fredrickson David Paul 2026-02-26
Spetzler David Baxley
President
2026-03-06
Brille Brian J
See Remarks
2026-03-06
Power Luke Thomas
See Remarks
2026-03-06