SEC Form 4 · accession 0000899243-17-002722
Carlyle Group Inc. · CG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pamela L Bentley
Officer — Chief Accounting Officer
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:13 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, 2017 | A | 19,355 | $0.00 | A | 168,141 | D | |
| Common UnitsF2 | Feb 1, 2017 | A | 3,489 | $0.00 | A | 171,630 | 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, 2018, an additional 30% on August 1, 2019 and the remaining 30% on August 1, 2020, 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, 2018, subject to the reporting person's continued service at the company on the vesting date.
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.