Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Caris Life Sciences, Inc.CAI · Entity 3706 | Director · 10% owner | March 25, 2025 | June 23, 2025 |
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 March 25, 2025 · Filed June 23, 2025
Jointly reported with HALBERT DAVID D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,023,250 |
Reported balance
After 2025-03-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-03-25 · Grant · Acquired 360,750 · Balance 2,023,250 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 2,437,089 |
Reported balance
After 2025-06-18 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-06-18 · Grant · Acquired 413,839 · Balance 2,437,089 F2: Represents an award of restricted stock units that vest in accordance with the applicable grant agreement. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 121,025,002 |
Reported balance
After 2025-06-20 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-06-20 · Conversion · Acquired 104,761,535 · Balance 121,025,002 F3: 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. F4: 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. F5: 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. |
| Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnotes | 0 |
Reported balance
After 2025-06-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-06-20 · Conversion · Disposed 389,416,484 · Balance 0 F3: 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. F5: 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. F6: 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. |
| Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnotes | 0 |
Reported balance
After 2025-06-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-06-20 · Conversion · Disposed 29,629,630 · Balance 0 F3: 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. F5: 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. F6: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Represents an award of restricted stock units that vest in accordance with the applicable grant agreement.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
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 |
|---|---|---|---|---|---|---|
| June 20, 2025 Filed Jun 23, 2025 18:33 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | ConversionSeries B Preferred Stock · Derivative | 29,629,630 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-25-061808 · tm2518641-4_4seq1.xml · derivative · entry 5 HALBERT DAVID D · CIK 0001034380 · Director · See Remarks · 10% owner Caris Halbert, L.P. · CIK 0002072109 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 7,407,408 shares Expires not disclosed 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. F3 · price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F5 · ownership.nature: 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. F6 · ownership.nature: 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. Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 18:33 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | ConversionSeries A Preferred Stock · Derivative | 389,416,484 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-25-061808 · tm2518641-4_4seq1.xml · derivative · entry 4 HALBERT DAVID D · CIK 0001034380 · Director · See Remarks · 10% owner Caris Halbert, L.P. · CIK 0002072109 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 97,354,127 shares Expires not disclosed 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. F3 · price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F5 · ownership.nature: 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. F6 · ownership.nature: 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. Read SEC document |
| June 20, 2025 Filed Jun 23, 2025 18:33 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | ConversionCommon Stock | 104,761,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061808 · tm2518641-4_4seq1.xml · nonDerivative · entry 3 HALBERT DAVID D · CIK 0001034380 · Director · See Remarks · 10% owner Caris Halbert, L.P. · CIK 0002072109 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 121,025,002 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. F3 · kind: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| June 18, 2025 Filed Jun 23, 2025 18:33 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | GrantCommon Stock | 413,839 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061808 · tm2518641-4_4seq1.xml · nonDerivative · entry 2 HALBERT DAVID D · CIK 0001034380 · Director · See Remarks · 10% owner Caris Halbert, L.P. · CIK 0002072109 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,437,089 F2 · shares: Represents an award of restricted stock units that vest in accordance with the applicable grant agreement. Read SEC document |
| March 25, 2025 Filed Jun 23, 2025 18:33 UTC | Caris Life Sciences, Inc. CAI · Entity 3706 | GrantCommon Stock | 360,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061808 · tm2518641-4_4seq1.xml · nonDerivative · entry 1 HALBERT DAVID D · CIK 0001034380 · Director · See Remarks · 10% owner Caris Halbert, L.P. · CIK 0002072109 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,023,250 F1 · shares: 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. 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.