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Caris Life Sciences (CAI) director exercises 2,500 options in 2026

Filing Impact
(Neutral)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Caris Life Sciences director Peter M. Castleman reported an option exercise and updated share holdings. On January 9, 2026, he exercised a stock option to acquire 2,500 shares of common stock at an exercise price of $18.6 per share, increasing his directly held common stock to 18,629 shares. The stock option position reported in this filing is now shown as 0 derivative securities remaining.

Castleman also reports indirect ownership of 100,000 common shares through a family trust and 10,270,906 common shares held by CLS-PF-SPE, LLC, where he has voting and investment power through CLS-PF-SPE Manager, LLC, while disclaiming beneficial ownership except to the extent of his pecuniary interest. The option was already fully vested and had been previously reported on his Form 3.

Positive

  • None.

Negative

  • None.
Insider CASTLEMAN PETER M
Role Director
Type Security Shares Price Value
Exercise Stock Option 2,500 $0.00 --
Exercise Common Stock 2,500 $18.60 $47K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Stock Option — 0 shares (Direct); Common Stock — 18,629 shares (Direct); Common Stock — 100,000 shares (Indirect, By Family Trust)
Footnotes (1)
  1. CLS-PF-SPE Manager, LLC is the manager of CLS-PF-SPE, LLC. Mr. Castleman is a manager of CLS-PF-SPE Manager, LLC and in such capacity has voting and investment power with respect to the shares held by CLS-PF-SPE, LLC. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. The stock option is fully vested and exercisable. These securities were previously reported on the Reporting Person's Form 3.
Form 4 Insider Transactions: What Each Field Means →
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*
CASTLEMAN PETER M
(Last) (First) (Middle)
C/O CARIS LIFE SCIENCES, INC.
750 W. JOHN CARPENTER FREEWAY, SUITE 800
(Street)
IRVING TX 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 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2026
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)
Code V Amount (A) or (D) Price
Common Stock 01/09/2026 M 2,500 A $18.6 18,629 D
Common Stock 100,000 I By Family Trust
Common Stock 10,270,906 I By CLS-PF-SPE, LLC(1)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $18.6 01/09/2026 M 2,500 (2) 02/27/2035 Common Stock 2,500 $0 0 D
Explanation of Responses:
1. CLS-PF-SPE Manager, LLC is the manager of CLS-PF-SPE, LLC. Mr. Castleman is a manager of CLS-PF-SPE Manager, LLC and in such capacity has voting and investment power with respect to the shares held by CLS-PF-SPE, LLC. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
2. The stock option is fully vested and exercisable. These securities were previously reported on the Reporting Person's Form 3.
Remarks:
/s/ J. Russel Denton, Attorney-in-Fact 01/13/2026
** 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

FAQ

What insider transaction did Caris Life Sciences (CAI) report in this Form 4?

Director Peter M. Castleman exercised a stock option on January 9, 2026 to acquire 2,500 shares of Caris Life Sciences common stock at an exercise price of $18.6 per share.

How many Caris Life Sciences (CAI) shares does Peter M. Castleman own directly after the transaction?

After the option exercise, Peter M. Castleman directly holds 18,629 shares of Caris Life Sciences common stock, reported as direct ownership.

What indirect Caris Life Sciences (CAI) holdings are reported for Peter M. Castleman?

The filing reports 100,000 common shares held indirectly by a Family Trust and 10,270,906 common shares held indirectly by CLS-PF-SPE, LLC, in which Castleman has voting and investment power through CLS-PF-SPE Manager, LLC and disclaims beneficial ownership except for his pecuniary interest.

What happened to the stock option position reported in the Form 4 for Caris Life Sciences (CAI)?

The stock option with a $18.6 exercise price was exercised for 2,500 underlying common shares, and the number of such derivative securities beneficially owned after the transaction is 0.

What is Peter M. Castleman’s role at Caris Life Sciences (CAI)?

Peter M. Castleman is reported as a director of Caris Life Sciences, Inc. in this Form 4.

Were the exercised Caris Life Sciences (CAI) options already vested?

Yes. A footnote states that the stock option is fully vested and exercisable and had been previously reported on the reporting person’s Form 3.