# EDGAR Filing Document

**Accession Number:** 0002019410
**File Stem:** 0001104659-25-061808
**Filing Date:** 2025-6
**Character Count:** 9961
**Document Hash:** 6deb3b6c5d88b237197994a063b8c449
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-061808.hdr.sgml**: 20250623

**ACCESSION NUMBER**: 0001104659-25-061808

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250325

**FILED AS OF DATE**: 20250623

**DATE AS OF CHANGE**: 20250623

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** HALBERT DAVID D
- **CENTRAL INDEX KEY:** 0001034380

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066226
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Caris Halbert, L.P.
- **CENTRAL INDEX KEY:** 0002072109

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066225

**BUSINESS ADDRESS:**
- **STREET 1:** 750 W. JOHN CARPENTER FREEWAY
- **STREET 2:** SUITE 800
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039
- **BUSINESS PHONE:** 972-947-2871

**MAIL ADDRESS:**
- **STREET 1:** 750 W. JOHN CARPENTER FREEWAY
- **STREET 2:** SUITE 800
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Caris Life Sciences, Inc.
- **CENTRAL INDEX KEY:** 0002019410
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 852077369
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 750 W JOHN CARPENTER FREEWAY
- **STREET 2:** SUITE 800
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039
- **BUSINESS PHONE:** (866) 771-8946

**MAIL ADDRESS:**
- **STREET 1:** 750 W JOHN CARPENTER FREEWAY
- **STREET 2:** SUITE 800
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75039

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>HALBERT DAVID D<br><sub>(Last) (First) (Middle)</sub><br>C/O CARIS LIFE SCIENCES, INC.<br>750 W. JOHN CARPENTER FREEWAY, SUITE 800<br><sub>(Street)</sub><br>IRVING, TX 75039<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-03-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Caris Life Sciences, Inc. [ CAI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Caris Halbert, L.P.<br><sub>(Last) (First) (Middle)</sub><br>C/O CARIS LIFE SCIENCES, INC.<br>750 W. JOHN CARPENTER FREEWAY, SUITE 800<br><sub>(Street)</sub><br>IRVING, TX 75039<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-03-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Caris Life Sciences, Inc. [ CAI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-03-25 |  | A |  | 360750<sup>(1)</sup> | A | $0 | 2023250 | D |  |
| Common Stock | 2025-06-18 |  | A |  | 413839<sup>(2)</sup> | A | $0 | 2437089 | D |  |
| Common Stock | 2025-06-20 |  | C<sup>(3)</sup> |  | 104761535 | A | $0 | 121025002 | I | See Footnotes<sup>(4)(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Series A Preferred Stock | $0 | 2025-06-20 |  | C |  |  | 389416484 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 97354127 | <sup>(3)</sup> | 0 | I | See Footnotes<sup>(5)(6)</sup> |
| Series B Preferred Stock | $0 | 2025-06-20 |  | C |  |  | 29629630 | <sup>(3)</sup> | <sup>(3)</sup> | Common Stock | 7407408 | <sup>(3)</sup> | 0 | I | See Footnotes<sup>(5)(6)</sup> |

---

### Footnotes:

(1) Represents an award of restricted stock units that vest in accordance with the applicable grant agreement. These restricted stock units were previously reported on the Reporting Person's Form 3. All the securities reported in this Form 4 reflect a one-for-four reverse stock split effected as of June 1, 2025.

(2) Represents an award of restricted stock units that vest in accordance with the applicable grant agreement.

(3) Each share of preferred stock automatically converted into 0.25 shares of Common Stock of the Issuer upon the closing of the initial public offering of the Issuer's Common Stock.

(4) The Common Stock reported herein includes (i) 101,261,532 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, and (v) 2,175,089 shares of Common Stock held of record by Caris Investment III Ltd. 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.

(5) David D. 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.

(6) The preferred stock reported herein includes (i) 3,500,003 shares of Common Stock underlying Series A Preferred Stock held of record by ADAPT I Ltd., (ii) 93,854,124 shares of Common Stock underlying Series A Preferred Stock held of record by Caris Halbert, L.P. and (iii) 7,407,408 shares of Common Stock underlying Series B Preferred Stock held of record by Caris Halbert, L.P.

**Remarks:**
Founder, Chairman, and Chief Executive Officer; ADAPT I Ltd. and Carisome I, L.P. are filing a separate Form 4 with respect to the transactions reported herein.

**Signature:** David Halbert, /s/ J. Russel Denton, Attorney-in-Fact  
**Date:** 2025-06-23

**Signature:** Caris Halbert, L.P., /s/ J. Russel Denton, Attorney-in-Fact  
**Date:** 2025-06-23

### Remarks:

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.**