HALBERT DAVID D 4

4 · Caris Life Sciences, Inc. · Filed May 18, 2026

AI-generated summary of this filing

Updated May 18, 2026

Caris (CAI) CEO David Halbert Withholds 40,712 Shares for Taxes

What Happened

David D. Halbert — Founder, Chairman and CEO of Caris Life Sciences (10% owner) — had 40,712 shares withheld on May 15, 2026 to cover tax obligations tied to the vesting/settlement of RSUs. The shares were recorded at $15.25 each, totaling approximately $620,858. This was a withholding/tax-payment disposition, not an open-market sale.

Key Details

Transaction date: 2026-05-15; Filing date: 2026-05-18 (timely filing).
Price: $15.25 per share; Shares withheld/disposed: 40,712; Value ≈ $620,858.
Reported beneficial ownership (per filing footnote): 121,025,002 shares held across related entities (Caris Halbert, L.P.; ADAPT I Ltd.; Carisome I, L.P.; Caris Investment II & III Ltd.; Halbert Family Capital, LLC).
Footnotes: F1 — shares were withheld to pay taxes on RSU vesting/settlement. F3 — Mr. Halbert is managing member/trustee with voting/investment power over the entities listed but disclaims beneficial ownership except to the extent of his pecuniary interest.
Transaction code: F (tax withholding on vested awards), not a market purchase or sale (no 10b5-1 plan or late filing noted).

Context

This is a routine tax-withholding event common when restricted stock units vest. The company retained/withheld shares to satisfy tax obligations (a cashless-type settlement of tax), so it should not be interpreted the same way as an outright open-market sale or a purchase. As a 10% owner with holdings reported via related entities, Mr. Halbert’s filing reflects institutional/control relationships rather than simple personal trades.

Form 4

Period: 2026-05-15

DirectorSee Remarks10% Owner

Transactions

Tax Payment
Common Stock
[F1]
2026-05-15$15.25/sh−40,712$620,858→ 2,574,533 total

Holdings

Footnotes (3)

[F1]Shares withheld for the payment of taxes on the vesting and settlement of RSUs.
[F2]The Common Stock reported herein includes (i) 76,261,532 shares of Common Stock held by Caris Halbert, L.P., (ii) 8,528,805 shares of Common Stock held by ADAPT I Ltd., (iii) 8,414,427 shares of Common Stock held by Carisome I, L.P., (iv) 645,149 shares of Common Stock held by Caris Investment II Ltd, (v) 2,175,089 shares of Common Stock held by Caris Investment III Ltd, and (vi) 25,000,000 shares held by Halbert Family Capital, LLC. 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. Caris Halbert, L.P. is the managing member of Halbert Family Capital, LLC.
[F3]David Dean 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 by each of the foregoing entities. Mr. Halbert disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Signature

/s/ J. Russel Denton, Attorney-in-Fact|2026-05-18

1 file