Caris Life Sciences (CAI) insider awarded 320,112 RSUs and reports large indirect stake

(Neutral)

Form Type

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.

Insider Trade Summary

Net Buyer: 320,112 shares

Net Buy 2 txns

Insider HALBERT DAVID D

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	320,112	$0.00	$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 (3)

F1. Represents an award of restricted stock units which vest in accordance with the applicable grant agreement.
F2. 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.
F3. 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.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google

Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 03/10/2026 - 05:55 PM

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.

How many Caris Life Sciences (CAI) shares did Halbert directly hold after the award?

After the March 6, 2026 award, David D. Halbert directly held 2,615,245 shares of Caris Life Sciences Common Stock. This reflects the addition of 320,112 shares received as a restricted stock unit grant that vests according to the applicable grant agreement.

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.

What indirect holdings of Caris Life Sciences (CAI) shares are associated with David D. Halbert?

The filing lists 121,025,002 Caris Life Sciences shares held indirectly through entities such as Caris Halbert, L.P., ADAPT I Ltd., Carisome I, L.P., Caris Investment II Ltd., Caris Investment III Ltd., and Halbert Family Capital, LLC. These are entity-level holdings linked to Halbert’s investment roles.

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.

How are the 320,112 Caris Life Sciences (CAI) shares structured in this award?

The 320,112 shares are structured as restricted stock units that vest according to the terms of the applicable grant agreement. They were recorded at $0.00 per share, reflecting a compensation-related equity award rather than a cash purchase on the open market.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

HALBERT DAVID D

(Last)

(First)

(Middle)

C/O CARIS LIFE SCIENCES, INC.

750 W. JOHN CARPENTER FREEWAY, SUITE 800

(Street)

IRVING

75039

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Caris Life Sciences, Inc. [ CAI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

3. Date of Earliest Transaction (Month/Day/Year)
03/06/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	03/06/2026		A		320,112⁽¹⁾	A	$0	2,615,245	D
Common Stock								121,025,002	I	See Footnotes⁽²⁾⁽³⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

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

2. 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.

3. 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.

Remarks:

Founder, Chairman, and Chief Executive Officer

	/s/ J. Russel Denton, Attorney-in-Fact	03/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR