Caris Life Sciences' Spetzler plans $2.95M sale

Available on EDGAR 09/04/2026 - 04:44 PM EDT Accepted by SEC EDGAR 09/04/2026 - 04:43 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Caris Life Sciences, Inc. (CAI) is the issuer of common stock for which David Spetzler has filed a notice under Rule 144 to sell up to 119,212 shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $2,951,116.90 as of September 4, 2026 on NASDAQ. These shares relate to an exercise of options under a registered plan, with remarks stating the client is selling enough shares to cover the option cost and associated taxes for an expiring option. In the prior three months, David Spetzler reported a separate sale of 478,000 shares of Caris Life Sciences common stock for $11,882,984.40.

Key Figures

Shares to be sold under Rule 144: 119,212 shares Aggregate market value of planned sale: $2,951,116.90 Shares sold in past 3 months: 478,000 shares +3 more

6 metrics

Shares to be sold under Rule 144 119,212 shares Planned sale of Caris Life Sciences common stock by David Spetzler as of September 4, 2026

Aggregate market value of planned sale $2,951,116.90 Estimated value of 119,212 Caris Life Sciences shares as of September 4, 2026 on NASDAQ

Shares sold in past 3 months 478,000 shares Caris Life Sciences common stock sold by David Spetzler on September 3, 2026

Proceeds from prior 3-month sale $11,882,984.40 Value of 478,000 Caris Life Sciences shares sold on September 3, 2026

Shares outstanding (context) 282,595,186 shares Caris Life Sciences common shares outstanding referenced alongside Rule 144 sale details

Date of notice September 4, 2026 Filing date of Rule 144 notice by David Spetzler for Caris Life Sciences shares

Key Terms

Rule 144, Exercise of Options Under a Registered Plan, expiring option, aggregate market value

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Exercise of Options Under a Registered Plan financial

"Common | 09/04/2026 | Exercise of Options Under a Registered Plan | Issuer"

expiring option financial

"selling enough shares to cover the options cost and taxes associated with the exercise of an expiring option."

aggregate market value financial

"Common | Morgan Stanley Smith Barney LLC ... | 119212 | 2951116.90"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filing disclose for Caris Life Sciences (CAI)?

It discloses that David Spetzler filed a Rule 144 notice to sell up to 119,212 shares of Caris Life Sciences common stock, with an aggregate market value of $2,951,116.90, in connection with an exercise of options under a registered plan on September 4, 2026.

How many Caris Life Sciences (CAI) shares is David Spetzler planning to sell?

The notice covers up to 119,212 shares of Caris Life Sciences common stock to be sold. The filing states these are related to an exercise of options under a registered plan and that the client is selling enough shares to cover the option cost and related taxes.

What is the reported value of the Caris Life Sciences (CAI) shares in this Form 144?

The filing lists an aggregate market value of $2,951,116.90 for the 119,212 shares of Caris Life Sciences common stock covered by the planned sale as of September 4, 2026 on NASDAQ.

What prior sales of Caris Life Sciences (CAI) stock has David Spetzler reported in the last 3 months?

The filing reports that in the past three months, David Spetzler sold 478,000 shares of Caris Life Sciences common stock on September 3, 2026 for total proceeds of $11,882,984.40.

Why are the Caris Life Sciences (CAI) shares being sold according to the Form 144 remarks?

The remarks state that the client is selling enough shares to cover the options cost and taxes associated with the exercise of an expiring option, indicating the sale is tied to funding an option exercise and related tax obligations.

Which broker is handling the planned sale of Caris Life Sciences (CAI) shares?

The Form 144 lists Morgan Stanley Smith Barney LLC Executive Financial Services as the broker for the 119,212 shares of Caris Life Sciences common stock to be sold, with trading indicated on NASDAQ as of September 4, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0002071953
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CARIS LIFE SCIENCES, INC.
SEC File Number	001-42706
Address of Issuer	750 W JOHN CARPENTER FREEWAY SUITE 800 IRVING TEXAS 75039
Phone	(866) 771-8946
Name of Person for Whose Account the Securities are To Be Sold	DAVID SPETZLER
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	119212	2951116.90	282595186	09/04/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	09/04/2026	Exercise of Options Under a Registered Plan	Issuer			119212	09/04/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
DAVID SPETZLER 750 W JOHN CARPENTER FREEWAY SUITE 800 IRVING TX 75039	Common	09/03/2026	478000	11882984.40

144: Remarks and Signature

Remarks	The client is selling enough shares to cover the options cost and taxes associated with the exercise of an expiring option.
Date of Notice	09/04/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ David Spetzler
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)