Welcome to our dedicated page for Caris Life Sciences SEC filings (Ticker: CAI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Caris Life Sciences, Inc. (NASDAQ: CAI) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a Texas corporation with Commission File Number 001-42706, Caris uses current reports on Form 8-K and other SEC filings to communicate information about financial results, corporate governance changes and other material events.
Recent 8-K filings from Caris Life Sciences have furnished press releases announcing quarterly financial results, including revenue from molecular profiling services and pharma research and developmental services, as well as clinical therapy selection case volumes. Another 8-K describes an amendment and restatement of the company’s bylaws, including a provision specifying the minimum beneficial ownership threshold required for shareholders to institute or maintain a derivative proceeding under Texas law.
On this page, users can review CAI filings such as Form 8-K, and, as they become available, annual reports on Form 10-K, quarterly reports on Form 10-Q, and other documents that detail Caris’ business, risk factors, financial condition and governance matters. These filings complement the company’s press releases by providing formal, structured disclosures for investors and analysts.
Stock Titan enhances access to these documents with tools designed to help readers navigate and interpret complex SEC materials. Users can monitor new CAI filings as they are posted to the EDGAR system and use AI-powered summaries to understand key points in lengthy reports, including discussions of molecular profiling operations, precision oncology initiatives, and corporate policies referenced in Caris Life Sciences’ regulatory disclosures.
Caris Life Sciences, Inc. (CAI) – Form 4 insider transaction
The filing reports two transactions by Brian J. Brille, Vice-Chairman, Executive Vice President and Director of Caris Life Sciences:
- 18 Jun 2025: Award of 132,428 restricted stock units (RSUs). RSUs were granted at no cost and will vest according to the grant agreement. Following the award, Brille’s direct holdings increased by the same amount.
- 20 Jun 2025: Open-market purchase of 30,000 common shares at $21.00 per share, indicating a personal cash outlay of approximately $630,000.
After the reported transactions:
- Direct ownership: 162,428 common shares.
- Indirect ownership: 500,000 common shares held through trusts (Brille disclaims beneficial ownership beyond his pecuniary interest).
No derivative securities were reported, and no dispositions took place. The filing confirms that Brille remains subject to Section 16 reporting obligations. The purchase was not flagged as a Rule 10b5-1 transaction, suggesting it was discretionary.
Investor takeaway: A sizeable open-market buy combined with a large RSU grant increases Brille’s economic exposure to CAI, which market participants often interpret as a sign of insider confidence in the company’s prospects. However, the filing provides no additional operational or financial data that would allow an assessment of fundamental performance.
Form 4 Overview: The filing discloses that TSSP Sub-Fund HoldCo LLC and Alan Waxman (together with several Sixth Street–affiliated LLCs) reported multiple conversions of preferred shares and cashless warrant exercises into Caris Life Sciences, Inc. (CAI) common stock on 20 June 2025, immediately prior to and in connection with the company’s initial public offering (IPO).
Key Share Movements
- Series C Preferred – 6.88 million, 15.53 million, 13.98 million and 1.92 million shares converted across four LLC vehicles, yielding a total of 9.57 million CAI common shares.
- Series D Preferred – 1.24 million and 23.57 million shares converted, creating 10.63 million common shares.
- 2018 Warrants – Cashless exercise of 13.01 million and 0.68 million warrants produced 2.37 million common shares.
- 2020 Warrants – Cashless exercise of 10.83 million and 0.57 million warrants produced 1.80 million common shares.
Post-Transaction Holdings: Following the transactions, the reporting entities disclose beneficial ownership of more than 28 million CAI common shares, all held indirectly through various Sixth Street–managed vehicles (Barnett Equity Holdings I & II, TAO Barnett Investments, TOP III Barnett Investments, and Sixth Street Specialty Lending, Inc.). Ownership is classified as “Indirect (I)” for each security.
Context & Implications: These changes are a mechanical conversion tied to the IPO rather than open-market buying or selling. While they do not inject new capital, they reveal significant insider equity stakes that will enter the public float post-listing, signalling alignment with minority shareholders. Conversely, the sizeable issuance may add dilution risk considerations for prospective investors.