| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| HALBERT DAVID D | Officer, 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 | 2025-06-23 | 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 | 2025-06-23 | 0002072109 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAI | Common Stock | Award | $0 | +361K | +21.7% | $0.00 | 2.02M | Mar 25, 2025 | Direct | F1 |
| transaction | CAI | Common Stock | Award | $0 | +414K | +20.45% | $0.00 | 2.44M | Jun 18, 2025 | Direct | F2 |
| transaction | CAI | Common Stock | Conversion of derivative security | $0 | +105M | +644.15% | $0.00 | 121M | Jun 20, 2025 | See Footnotes | F3, F4, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAI | Series A Preferred Stock | Conversion of derivative security | -389M | -100% | 0 | Jun 20, 2025 | Common Stock | 97.4M | $0.00 | See Footnotes | F3, F5, F6 | ||
| transaction | CAI | Series B Preferred Stock | Conversion of derivative security | -29.6M | -100% | 0 | Jun 20, 2025 | Common Stock | 7.41M | $0.00 | See Footnotes | F3, F5, F6 |
| Id | Content |
|---|---|
| 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. |
| F2 | Represents an award of restricted stock units that vest in accordance with the applicable grant agreement. |
| 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. |
| 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. |
| 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. |
| 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. |
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.