HALBERT DAVID D 4

What Happened

• David D. Halbert, Founder, Chairman and Chief Executive Officer of Caris Life Sciences (CAI), was granted 320,112 restricted stock units (RSUs) on March 6, 2026. The award is reported at an acquisition price of $0.00 (typical for RSU grants) and will vest according to the applicable grant agreement (footnote F1). This transaction is an award/grant (transaction code A), not an open-market buy or sale.

Key Details

• Transaction date and type: 2026-03-06 — Award/Grant of 320,112 RSUs (code A); reported acquisition price $0.00.
• Shares owned after transaction (as reported): the filing discloses aggregated holdings of 121,025,002 shares of Common Stock held of record by various entities associated with Halbert (see footnote F2 for the breakdown).
• Insider status and control: Halbert is a 10% owner; footnote F3 explains he has voting and investment power over the shares held by affiliated entities but disclaims beneficial ownership except to the extent of his pecuniary interest.
• Vesting/terms: The RSUs vest in accordance with the grant agreement (F1). No sale, exercise, or tax-withholding shares were reported in this filing.
• Filing timeliness: Transaction reported on Form 4 filed 2026-03-10 for a 2026-03-06 grant — filed within the SEC’s two-business-day window (timely).

Context

• RSU grants are compensation awards that generally convert to shares only after vesting and may be forfeited if vesting conditions aren’t met; they are not immediate purchases or sales and don’t by themselves indicate the insider is buying or selling based on near-term views of the stock.
• The large reported share count reflects ownership through multiple affiliated entities and family trusts (institutional/related-party holdings), not necessarily direct personal share purchases.