SEC Form 4 · accession 0001209191-15-009832
Carlyle Group Inc. · CG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Cavanagh
Officer — See Remarks
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 4:35 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 UnitsF2,F1 | Feb 3, 2015 | S | 75,147 | $26.55 | D | 995,291 | D | |
| Common UnitsF3,F1 | Feb 3, 2015 | S | 77,410 | $26.98 | D | 917,881 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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.
- F2The price reported in column 4 is a weighted average price. These common units were sold in multiple transactions at prices ranging from $26.23 to $26.8328, 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.
- F3The price reported in column 4 is a weighted average price. These common units were sold in multiple transactions at prices ranging from $26.84 to $27.26, 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
Mr. Cavanagh's title is Co-President and Co-Chief Operating Officer. 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.