Caris Life Sciences, Inc.
For the period ended Sep 30, 2025. Filed Nov 5, 2025.
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Sep 30, 2025 · Filed Nov 5, 2025
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Item 5. Other Information
Disclosure of Trading Arrangements
During the fiscal quarter ended September 30, 2025, none of our directors or officers (as defined in Rule 16a-1(f) under the Exchange Act)adopted orterminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K, except as described in the paragraph below.
On August 19, 2025, Luke Power, our Senior Vice President, Chief Financial Officer and Chief Accounting Officer, entered into a pre-arranged stock trading plan. Such trading plan is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. Mr. Power’s plan provides for, subject to certain market price limits set forth in the plan, the exercise of up to 62,250 vested stock options and the associated sale of shares remaining after the satisfaction of exercise price and tax withholding obligations between December 11, 2025 and June 11, 2026.
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