SEC Form 4 · accession 0001209191-15-050623
Carlyle Group Inc. · CG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel A. D'Aniello
Officer — Chairman · Director
Period of report
Jun 5, 2015
Accepted (ET)
Jun 5, 2015 · 4:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527166
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Carlyle Holdings partnership unitsF2,F1 | — | Mar 10, 2014 | D | 1,000,000 | D | — | — | Common Units Representing limited partnership interests | 1,000,000 | 44,213,930 | D |
| Carlyle Holdings partnership unitsF3,F1 | — | holding | — | — | — | — | — | Common Units Representing limited partnership interests | 285,714 | 285,714 | I |
Explanation of responses
- F1Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings are exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.
- F2The reporting person sold to the issuer the number of Carlyle Holdings partnership units set forth above at a price per Carlyle Holdings partnership unit of $30.07, which represents the price at which the issuer's common units were sold in the issuer's public offering.
- F3Such Carlyle Holdings partnership units are held in a trust for the benefit of the reporting person's family. The reporting person is the special purpose trustee of the trust and has sole investment power over the units.
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.