Form 4 for CAI Caris Life Sciences, Inc.
Accepted 2025-06-23 00:00:00 ET · period of report 2025-02-27 · accession 0001104659-25-061804 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-06-23 | 2025-02-27 | CAI | CASTLEMAN PETER M | Dir | A - Grant | $0.00 | +16.1K | 16.1K | New | $0 |
| DI | 2025-06-23 | 2025-06-20 | CAI | CASTLEMAN PETER M | Dir | C - Cnv Deriv | $0.00 | +10.25M | 10.27M | +40,984% | $0 |
| DI | 2025-06-23 | 2025-06-20 | CAI | CASTLEMAN PETER M | Dir | C - Cnv Deriv | — | -40.98M | 0 | -100% | — |
| D | 2025-06-23 | 2025-02-27 | CAI | CASTLEMAN PETER M | Dir | A - Grant | $0.00 | +2,500 | 2,500 | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-02-27 | A | A | 16,129 | $0.00 | 16,129 | D By CLS-PF-SPE, LLC | — | — | (F1) Represents an award of restricted stock units which 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. (F3) CLS-PF-SPE Manager, LLC is the manager of CLS-PF-SPE, LLC. Mr. Castleman is a manager of CLS-PF-SPE Manager, LLC and in such capacity has voting and investment power with respect to the shares held by CLS-PF-SPE, LLC. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
| 2 | Common | Common Stock | 2025-06-20 | C | A | 10,245,906 | $0.00 | 10,270,906 | I | — | — | |
| 3 | Derivative | Series A Preferred Stock | 2025-06-20 | C | D | 40,983,607 | — | 0 | I | $0.00 · — to — | 10,245,906 Common Stock | (F2) 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. |
| 4 | Derivative | Stock Option | 2025-02-27 | A | A | 2,500 | $0.00 | 2,500 | D By CLS-PF-SPE, LLC | $18.60 · — to 2035-02-27 | 2,500 Common Stock | (F3) CLS-PF-SPE Manager, LLC is the manager of CLS-PF-SPE, LLC. Mr. Castleman is a manager of CLS-PF-SPE Manager, LLC and in such capacity has voting and investment power with respect to the shares held by CLS-PF-SPE, LLC. The Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest therein. (F4) The stock option is fully vested and exercisable. These securities were previously reported on the Reporting Person's Form 3. |