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

Signature
David Halbert, /s/ J. Russel Denton, Attorney-in-Fact
Stock symbol
CAI
Transactions as of
Jun 17, 2025
Transactions value $
$0
Form type
3
Date filed
6/17/2025, 09:33 PM
Previous filing
Jun 23, 2025
Next filing
Aug 13, 2025

Reporting Owners (4)

Name Relationship Address Signature Signature date CIK
HALBERT DAVID D Founder, Chairman, and Chief Executive Officer. Exhibit 24 - Power of Attorney., Director, 10%+ Owner C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING David Halbert, /s/ J. Russel Denton, Attorney-in-Fact 2025-06-17 0001034380
Caris Halbert, L.P. Director, 10%+ Owner C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING Caris Halbert, L.P., /s/ J. Russel Denton, Attorney-in-Fact 2025-06-17 0002072109
ADAPT I Ltd. Director, 10%+ Owner C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING ADAPT I Ltd., /s/ J. Russel Denton, Attorney-in-Fact 2025-06-17 0002072411
Carisome I, L.P. Director, 10%+ Owner C/O CARIS LIFE SCIENCES, INC., 750 W. JOHN CARPENTER FREEWAY, SUITE 800, IRVING Carisome I, L.P., /s/ J. Russel Denton, Attorney-in-Fact 2025-06-17 0002072412

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CAI Common Stock 2.02M Jun 17, 2025 Direct F1
holding CAI Common Stock 16.3M Jun 17, 2025 See Footnote F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CAI Series A Preferred Stock Jun 17, 2025 Common Stock 97.4M $0.00 See Footnote F2, F3, F4
holding CAI Series B Preferred Stock Jun 17, 2025 Common Stock 7.41M $0.00 See Footnote F2, F3, F4
holding CAI Stock Option Jun 17, 2025 Common Stock 2M $2.44 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 360,750 shares of Common Stock underlying restricted stock units which vest in accordance with the applicable grant agreement.
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.
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.
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.
F5 The stock option is fully vested and exercisable.

Remarks:

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