SEC Form 4 · accession 0000899243-16-012635
Carlyle Group Inc. · CG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Curtis L. Buser
Officer — Chief Financial Officer
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527166
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitsF1 | Feb 1, 2016 | A | 80,043 | $0.00 | A | 193,378 | D | |
| Common UnitsF2 | Feb 1, 2016 | A | 11,211 | $0.00 | A | 204,589 | D | |
| Common UnitsF4,F3 | Feb 1, 2016 | S | 2,470 | $13.38 | D | 202,119 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are deferred restricted common unit awards. These securities will vest 40% on August 1, 2017, an additional 30% on August 1, 2018 and the remaining 30% on August 1, 2019, subject to the reporting person's continued service at the company on the applicable vesting date.
- F2These securities are deferred restricted common unit awards. These securities will vest 100% on August 1, 2017, subject to the reporting person's continued service at the company on the vesting date.
- F3These common units were sold on behalf of the reporting person to cover tax withholding obligations in connection with the vesting of deferred restricted common units, the grant of which was previously reported.
- F4The price reported in column 4 is a weighted average price. These common units were sold in multiple transactions at prices ranging from $13.34 to $13.45, inclusive. The reporting person undertakes to provide to The Carlyle Group L.P., any security holder of The Carlyle Group L.P. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of common units purchased at each separate price within the range set forth in this footnote.
Remarks
Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the reporting person herein states that this filing shall not be deemed to be an admission that such reporting person is the beneficial owner of any of these interests, and disclaims beneficial ownership of such interests, except to the extent of such reporting person's pecuniary interest in such interests.