Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Caris Life Sciences, Inc.CAI · Entity 3706 | President | September 03, 2026 | September 04, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Caris Life Sciences, Inc.
Report date September 03, 2026 · Filed September 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,182,871 |
Ending reported balance
After 2026-09-04 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-09-03 · Exercise / conversion · Acquired 1,000,000 · Balance 1,530,083 Row 2 · 2026-09-03 · Sale · Disposed 393,100 · Balance 1,136,983 F1: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.3200 to $25.3100, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 3 · 2026-09-03 · Sale · Disposed 84,900 · Balance 1,052,083 F1: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.3200 to $25.3300, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 4 · 2026-09-04 · Exercise / conversion · Acquired 250,000 · Balance 1,302,083 Row 5 · 2026-09-04 · Sale · Disposed 119,212 · Balance 1,182,871 F1: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.5550 to $25.1200, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.44 · Expires 2026-09-12 | Direct | 250,000 |
Reported balance
After 2026-09-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-09-03 · Exercise / conversion · Disposed 1,000,000 · Balance 250,000 F5: Exercise of stock options before their expiration date. F6: The stock option is fully vested and exercisable. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.44 · Expires 2026-09-12 | Direct | 0 |
Reported balance
After 2026-09-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-09-04 · Exercise / conversion · Disposed 250,000 · Balance 0 F5: Exercise of stock options before their expiration date. F6: The stock option is fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.3200 to $25.3100, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.3200 to $25.3300, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.5550 to $25.1200, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: Exercise of stock options before their expiration date.
F6: The stock option is fully vested and exercisable.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 04, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionStock Option · Derivative | 250,000 | $0.00 Strike: $2.44 | $0.00 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · derivative · entry 7 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2026-09-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · shares: Exercise of stock options before their expiration date. F6 · derivative.exercise_date: The stock option is fully vested and exercisable. Read SEC document |
| September 04, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | SaleCommon Stock | 119,212 | $24.76 | $2,951,116.90 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · nonDerivative · entry 5 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,182,871 F1 · shares: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.5550 to $25.1200, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 04, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionCommon Stock | 250,000 | $2.44 | $610,000.00 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · nonDerivative · entry 4 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,302,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 03, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionStock Option · Derivative | 1,000,000 | $0.00 Strike: $2.44 | $0.00 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · derivative · entry 6 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 1,000,000 shares Expires 2026-09-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · shares: Exercise of stock options before their expiration date. F6 · derivative.exercise_date: The stock option is fully vested and exercisable. Read SEC document |
| September 03, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | SaleCommon Stock | 84,900 | $25.32 | $2,149,676.49 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · nonDerivative · entry 3 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,052,083 F1 · shares: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.3200 to $25.3300, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 03, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | SaleCommon Stock | 393,100 | $24.76 | $9,733,313.24 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · nonDerivative · entry 2 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,136,983 F1 · shares: The sales reported on this Form 4 were effected pursuant to a broker-assisted sell-to-cover exercise of fully vested stock options scheduled to expire on September 12, 2026. The shares were sold solely to cover the aggregate exercise price and applicable tax withholding obligations. The Reporting Person retained all remaining shares acquired upon exercise. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.3200 to $25.3100, inclusive. The reporting person undertakes to provide to Caris Life Sciences, Inc., any security holder of Caris Life Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 03, 2026 Filed Sep 4, 2026 20:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionCommon Stock | 1,000,000 | $2.44 | $2,440,000.00 |
DisclosureSEC source: 0002071953-26-000007 · wk-form4_1788555596.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,530,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 15, 2026 Filed May 18, 2026 20:23 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Tax withholdingCommon Stock | 13,856 | $15.25 | $211,304.00 |
DisclosureSEC source: 0002071953-26-000004 · wk-form4_1779135792.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 530,083 F1 · shares: Shares withheld for the payment of taxes on the vesting and settlement of RSUs. Read SEC document |
| March 06, 2026 Filed Mar 10, 2026 21:59 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | GrantCommon Stock | 83,162 | $0.00 | $0.00 |
DisclosureSEC source: 0002071953-26-000002 · wk-form4_1773179995.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 543,939 F1 · shares: Represents an award of restricted stock units which vest in accordance with the applicable grant agreement. Read SEC document |
| November 07, 2025 Filed Nov 10, 2025 13:11 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | PurchaseCommon Stock | 400 | $23.85 | $9,540.00 |
DisclosureSEC source: 0002071953-25-000008 · wk-form4_1762780290.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 460,777 Read SEC document |
| August 11, 2025 Filed Aug 14, 2025 00:07 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Tax withholdingCommon Stock | 63,509 | $29.75 | $1,889,392.75 |
DisclosureSEC source: 0001104659-25-077775 · tm2523446-2_4seq1.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 460,377 Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionStock Option · Derivative | 75,000 | $0.00 Strike: $2.44 | $0.00 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · derivative · entry 6 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2025-06-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The stock option is fully vested and exercisable. Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Tax withholdingCommon Stock | 34,782 | $27.25 | $947,809.50 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · nonDerivative · entry 4 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 523,886 Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Exercise / conversionCommon Stock | 75,000 | $2.44 | $183,000.00 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · nonDerivative · entry 3 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 558,668 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 18, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | GrantCommon Stock | 132,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · nonDerivative · entry 2 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 483,668 F3 · shares: Represents an award of restricted stock units which vest in accordance with the applicable grant agreement. Read SEC document |
| March 03, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | GrantStock Option · Derivative | 750,000 | $0.00 Strike: $18.60 | $0.00 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · derivative · entry 5 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2035-03-03 F4 · derivative.exercise_date: The stock option vested 60% at grant and will vest 20% on August 11, 2025 and 20% on August 11, 2026. These securities were previously reported on the Reporting Person's Form 3. Read SEC document |
| March 03, 2025 Filed Jun 23, 2025 22:41 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | Disposition to issuerCommon Stock | 700,509 | $18.60 | $13,029,467.40 |
DisclosureSEC source: 0001104659-25-061815 · tm2518641-9_4seq1.xml · nonDerivative · entry 1 Spetzler David Baxley · CIK 0002071953 · President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 351,240 F1 · price: Represents shares of Common Stock surrendered to the Issuer as repayment for an outstanding promissory note. F2 · balance_after: Includes 151,750 shares of Common Stock underlying restricted stock units which vest in accordance with the applicable grant agreements, which securities 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.