# EDGAR Filing Document

**Accession Number:** 0002019410
**File Stem:** 0001104659-25-061811
**Filing Date:** 2025-6
**Character Count:** 10961
**Document Hash:** 3fda958b41219ae734520729f80466de
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-061811.hdr.sgml**: 20250623

**ACCESSION NUMBER**: 0001104659-25-061811

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250620

**FILED AS OF DATE**: 20250623

**DATE AS OF CHANGE**: 20250623

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** VIGANO PAUL R
- **CENTRAL INDEX KEY:** 0001239606

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066235

**MAIL ADDRESS:**
- **STREET 1:** 212 ELM STREET, SUITE 1
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** WILLIAMS ROBERT M JR
- **CENTRAL INDEX KEY:** 0001239610

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066234

**MAIL ADDRESS:**
- **STREET 1:** 212 ELM STREET, SUITE 1
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** J H Whitney VI L P
- **CENTRAL INDEX KEY:** 0001325073

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

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066237

**BUSINESS ADDRESS:**
- **STREET 1:** 130 MAIN STREET
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
- **BUSINESS PHONE:** 203-716-6100

**MAIL ADDRESS:**
- **STREET 1:** 130 MAIN STREET
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** J. H. Whitney Equity Partners VI, LLC
- **CENTRAL INDEX KEY:** 0001394517

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

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42706
- **FILM NUMBER:** 251066236

**BUSINESS ADDRESS:**
- **STREET 1:** 130 MAIN STREET
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
- **BUSINESS PHONE:** 203-716-6138

**MAIL ADDRESS:**
- **STREET 1:** 130 MAIN STREET
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
**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

[x] 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>J H Whitney VI L P<br><sub>(Last) (First) (Middle)</sub><br>212 ELM STREET, SUITE 1<br><sub>(Street)</sub><br>NEW CANAAN, CT 06840<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] 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 |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>J. H. Whitney Equity Partners VI, LLC<br><sub>(Last) (First) (Middle)</sub><br>212 ELM STREET, SUITE 1<br><sub>(Street)</sub><br>NEW CANAAN, CT 06840<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] 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 |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>VIGANO PAUL R<br><sub>(Last) (First) (Middle)</sub><br>212 ELM STREET, SUITE 1<br><sub>(Street)</sub><br>NEW CANAAN, CT 06840<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] 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 |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>WILLIAMS ROBERT M JR<br><sub>(Last) (First) (Middle)</sub><br>212 ELM STREET, SUITE 1<br><sub>(Street)</sub><br>NEW CANAAN, CT 06840<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-20 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] 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 | 2025-06-20 |  | C<sup>(1)</sup> |  | 12516834 | A | <sup>(1)</sup> | 20256615 | I | See Footnote<sup>(2)</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 | <sup>(1)</sup> | 2025-06-20 |  | C<sup>(1)</sup> |  |  | 50067334 | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 12516834 | $0 | 0 | I | See Footnote<sup>(2)</sup> |

---

### Footnotes:

(1) 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.

(2) The securities reported herein are held of record by J.H. Whitney VI L.P. J.H. Whitney Equity Partners VI, LLC is the sole general partner of J.H. Whitney VI L.P. Paul R. Vigano and Robert M. Williams, Jr., as the managing members of J.H. Whitney Equity Partners VI, LLC, share voting and investment power with respect to the shares held by J.H. Whitney VI L.P. Each of J.H. Whitney Equity Partners VI, LLC, Paul R. Vigano and Robert M. Williams, Jr. disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein.

**Signature:** J.H Whitney VI L.P., By: J.H. Whitney Equity Partners VI, LLC, its general partner, By: /s/ Paul R. Vigano, its Managing Manager  
**Date:** 2025-06-23

**Signature:** J.H. Whitney Equity Partners VI, LLC, By: /s/ Paul R. Vigano, its Managing Manager  
**Date:** 2025-06-23

**Signature:** /s/ Paul R. Vigano  
**Date:** 2025-06-23

**Signature:** /s/ Robert M. Williams, Jr.  
**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.**