Caris Life Sciences (CAI) insider awarded 320,112 RSUs and reports large indirect stake
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
Caris Life Sciences director and officer David D. Halbert reported an acquisition of 320,112 shares of Common Stock on March 6, 2026 as a restricted stock unit award that vests under its grant agreement. These shares were received at a stated price of $0.00 per share, bringing his directly held Common Stock to 2,615,245 shares after the transaction.
The filing also shows 121,025,002 shares of Common Stock held indirectly through several affiliated entities, including Caris Halbert, L.P., ADAPT I Ltd., Carisome I, L.P., Caris Investment II Ltd., Caris Investment III Ltd., and Halbert Family Capital, LLC. Halbert has voting and investment power over these entity holdings but disclaims beneficial ownership beyond his pecuniary interest.
Positive
- None.
Negative
- None.
Insider Trade Summary
2 transactions reported
Mixed
2 txns
Insider
HALBERT DAVID D
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock | 320,112 | $0.00 | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Common Stock — 2,615,245 shares (Direct);
Common Stock — 121,025,002 shares (Indirect, See Footnotes)
Footnotes (1)
- Represents an award of restricted stock units which vest in accordance with the applicable grant agreement. The Common Stock reported herein includes (i) 76,261,532 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, (v) 2,175,089 shares of Common Stock held of record by Caris Investment III Ltd, and (vi) 25,000,000 shares held of record by Halbert Family Capital, LLC. 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. Caris Halbert, L.P. is the managing member of Halbert Family Capital, LLC. David Dean 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.
FAQ
What did David D. Halbert report in this Caris Life Sciences (CAI) Form 4?
David D. Halbert reported receiving 320,112 shares of Caris Life Sciences Common Stock as a restricted stock unit award. The award was booked at $0.00 per share and increased his directly held Common Stock to 2,615,245 shares following the transaction.
What type of transaction is reported for Caris Life Sciences (CAI) in this Form 4?
The Form 4 reports an acquisition coded as a grant or award of 320,112 shares of Caris Life Sciences Common Stock. These shares represent restricted stock units that vest under a grant agreement, rather than an open-market purchase or sale of existing shares.
Does David D. Halbert fully beneficially own all indirect Caris Life Sciences (CAI) shares?
No. While David D. Halbert has voting and investment power over the shares held by the affiliated entities, he expressly disclaims beneficial ownership of those Caris Life Sciences shares except to the extent of his pecuniary interest in the respective entities.