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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to The Carlyle Group Inc.
SEC Filings (Chronological Order)
이 페이지는 다른 곳에서 제공하는 소유권 보고서를 제외한 SEC 보고서의 전체 리스트를 시간 순으로 정리한 것입니다.
| June 1, 2026 |
Page | 1 Exhibit 99.1 Carlyle Appoints Kate Heinzelman as General Counsel Washington, D.C. and New York, NY, June 1, 2026 – Global investment firm Carlyle (NASDAQ: CG) today announced that Kate Heinzelman will join the firm as General Counsel effective June 29, 2026. Heinzelman will report directly to Chief Executive Officer Harvey Schwartz and will oversee Carlyle’s global legal and compliance or |
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| June 1, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2026 The Carlyle Group Inc. |
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| May 8, 2026 |
The Carlyle Group Inc. Amended and Restated Exhibit 10.2 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of the Date of Grant set forth above, on the |
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| May 8, 2026 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| May 8, 2026 |
As filed with the U.S. Securities and Exchange Commission on May 8, 2026 As filed with the U.S. Securities and Exchange Commission on May 8, 2026 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 6282 45-2832612 (State or other jurisdiction of incorporation or organization) (P |
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| May 8, 2026 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) California 95-35715 |
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| May 8, 2026 |
The Carlyle Group Inc. Amended and Restated Exhibit 10.1 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of the Date of Grant set forth above, on the |
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| May 8, 2026 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) California 95-35715 |
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| May 8, 2026 |
As filed with the U.S. Securities and Exchange Commission on May 8, 2026 As filed with the U.S. Securities and Exchange Commission on May 8, 2026 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 6282 45-2832612 (State or other jurisdiction of incorporation or organization) (P |
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| May 8, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 8, 2026 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) California 95-35715 |
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| May 8, 2026 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| May 8, 2026 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) California 95-35715 |
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| May 8, 2026 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| May 8, 2026 |
As filed with the U.S. Securities and Exchange Commission on May 8, 2026 As filed with the U.S. Securities and Exchange Commission on May 8, 2026 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 6282 45-2832612 (State or other jurisdiction of incorporation or organization) (P |
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| May 8, 2026 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| May 8, 2026 |
As filed with the U.S. Securities and Exchange Commission on May 8, 2026 As filed with the U.S. Securities and Exchange Commission on May 8, 2026 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 6282 45-2832612 (State or other jurisdiction of incorporation or organization) (P |
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| May 8, 2026 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| May 8, 2026 |
As filed with the U.S. Securities and Exchange Commission on May 8, 2026 As filed with the U.S. Securities and Exchange Commission on May 8, 2026 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 6282 45-2832612 (State or other jurisdiction of incorporation or organization) (P |
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| May 8, 2026 |
Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| May 8, 2026 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) California 95-35715 |
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| May 8, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2026 The Carlyle Group Inc. |
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| May 7, 2026 |
Page | 1 Exhibit 99.1 Carlyle Reports First Quarter 2026 Financial Results Washington, D.C. and New York, NY – May 7, 2026 – The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2026. The full detailed presentation of Carlyle’s first quarter 2026 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q1 2026 included loss before pro |
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| May 7, 2026 |
cg202603318-kexx992final TRADE SECRET & STRICTLY CONFIDENTIAL EXHIBIT 99.2 MAY 7, 2026 Carlyle Reports First Quarter 2026 Financial Results 2 Carlyle Reports First Quarter 2026 Financial Results WASHINGTON, D.C. AND NEW YORK, NY – MAY 7, 2026 – The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2026. U . S . G A A P R E S U L T S U.S. GAA |
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| April 23, 2026 |
Annual Report 2025SHAREHOLDER INQUIRIES Information about Carlyle, including quarterly earnings releases and filings with the U. |
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| April 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| April 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| April 23, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 27, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyle Gr |
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| February 27, 2026 |
Exhibit 4.21 DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of registered securities of The Carlyle Group Inc. is intended as a summary only and therefore is not a complete description. As used in this “Description of Securities,” the terms “Company,” “we,” “our,” and “us” refer to The Carlyle Group Inc., a Delaware corp |
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| February 27, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyle Gr |
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| February 27, 2026 |
Exhibit 21.1 LIST OF SUBSIDIARIES Company Name Jurisdiction of Incorporation or Organization AAF II Sidecar GP, LLC Delaware AB Florence ASPF GP, LLC Delaware Abingworth Bioventures 8 GP LP Scotland Abingworth Bioventures GP Limited England & Wales Abingworth Bioventures V GP limited Scotland Abingworth CCD 2 General Partner LLP Scotland Abingworth CCD General Partner LLP Scotland Abingworth CCD G |
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| February 27, 2026 |
The Carlyle Group Policies and Procedures Regarding Exhibit 19.1 The Carlyle Group Policies and Procedures Regarding Material, Non-Public Information and the Prevention of Insider Trading Carlyle has implemented policies and procedures (the “Insider Trading Policy”) intended to prevent the misuse of material, non-public information. •Insider Trading Generally. “Insider trading” occurs when any person purchases or sells a security (e.g., stock, bond |
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| February 27, 2026 |
The Carlyle Group Inc. Amended and Restated Exhibit 10.26 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Performance-Based Restricted Stock Unit Agreement Participant: Date of Grant: Number of PSUs: 1.Grant of PSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of performance-based restricted stock units (the “PSUs”) listed above to the Participant (the “Award”), effective as of [] (t |
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| February 27, 2026 |
Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| February 26, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2026 The Carlyle Group Inc. |
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| February 26, 2026 |
Page | 1 Exhibit 99.1 Carlyle Presents Growth Outlook at 2026 Shareholder Update Sets three-year financial targets including Fee Related Earnings (“FRE”), Inflows, and Distributable Earnings (“DE”) per common share Washington, D.C. and New York, NY – February 26, 2026 – Global investment firm Carlyle (NASDAQ: CG) is announcing its growth outlook and financial objectives at the 2026 Shareholder Upd |
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| February 6, 2026 |
cg202512318-kexx992edgar Carlyle Reports Fourth Quarter and Full-Year 2025 Financial Results FEBRUARY 6, 2026 Carlyle Reports Fourth Quarter and Full-Year 2025 Financial Results WASHINGTON, DC AND NEW YORK, NY – February 6, 2026 – The Carlyle Group Inc. |
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| February 6, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2026 The Carlyle Group Inc. |
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| February 6, 2026 |
Page | 1 Exhibit 99.1 Carlyle Reports Fourth Quarter and Full-Year 2025 Financial Results Washington, D.C. and New York, NY – February 6, 2026 – The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the fourth quarter and full-year ended December 31, 2025. The full detailed presentation of Carlyle’s fourth quarter and full-year 2025 results can be viewed at ir.carlyle.com. F |
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| December 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2025 The Carlyle Group Inc. |
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| December 5, 2025 |
Page | 1 Exhibit 99.1 Carlyle Announces Retirement of Jeffrey Ferguson, General Counsel Jeffrey Ferguson to retire after over 25 years at the firm Washington, D.C. and New York, NY, December 5, 2025 – Global investment firm Carlyle (NASDAQ: CG) today announced that Jeffrey Ferguson, General Counsel at Carlyle since 1999, has decided to retire as General Counsel of the firm in 2026. Mr. Ferguson th |
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| November 7, 2025 |
Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| November 7, 2025 |
Exhibit 10.1 $500,000,000 REVOLVING CREDIT AGREEMENT Dated as of December 17, 2018 as amended by Amendment No. 1 on December 16, 2019, Amendment No. 2 on December 15, 2020, Amendment No. 3 on September 1, 2021, Amendment No. 4 on January 25, 2022, Amendment No. 5 on August 23, 2023, Amendment No. 6 on August 21, 2024, and Amendment No. 7 on August 20, 2025 Among TCG CAPITAL MARKETS L.L.C. TCG SENI |
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| November 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The C |
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| October 31, 2025 |
cg202509308-kexx992edgar |
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| October 31, 2025 |
Page | 1 Exhibit 99.1 Carlyle Reports Third Quarter 2025 Financial Results Washington, D.C. and New York, October 31, 2025 – The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the third quarter ended September 30, 2025. The full detailed presentation of Carlyle’s third quarter 2025 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q3 2025 included income befo |
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| October 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2025 The Carlyle Group Inc. |
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| September 19, 2025 |
EX-4.1 Exhibit 4.1 INDENTURE Dated as of September 19, 2025 Among THE CARLYLE GROUP INC., THE GUARANTORS NAMED HEREIN and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee CERTAIN SECTIONS OF THIS INDENTURE RELATING TO SECTIONS 310 THROUGH 318 INCLUSIVE, OF THE TRUST INDENTURE ACT OF 1939 Trust Indenture Act Section Indenture Section Section 310(a)(1) Section 6.09 (a)(2) Section 6.09 (a) |
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| September 19, 2025 |
EX-4.2 Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE Dated as of September 19, 2025 Supplementing that Certain INDENTURE Dated as of September 19, 2025 Among THE CARLYLE GROUP INC., THE GUARANTOR PARTIES HERETO and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 5.050% Senior Notes due 2035 TABLE OF CONTENTS Page ARTICLE I ISSUANCE OF SECURITIES 1 SECTION 1.1 Issuance of Notes; Principal Am |
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| September 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2025 The Carlyle Group Inc. |
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| September 19, 2025 |
EX-1.1 Exhibit 1.1 THE CARLYLE GROUP INC. UNDERWRITING AGREEMENT $800,000,000 5.050% Senior Notes due 2035 September 16, 2025 Underwriting Agreement September 16, 2025 Citigroup Global Markets Inc. Goldman Sachs & Co. LLC J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Wells Fargo Securities, LLC As Representatives of the several Underwriters listed in Schedule I hereto c/o Citigroup Global Ma |
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| September 17, 2025 |
The Carlyle Group Inc. $800,000,000 5.050% Senior Notes due 2035 424B5 Filed Pursuant to Rule 424(b)(5) Registration No. 333-270745 PROSPECTUS SUPPLEMENT (To Prospectus dated March 22, 2023) The Carlyle Group Inc. $800,000,000 5.050% Senior Notes due 2035 The Carlyle Group Inc. (the “Issuer”) is offering $800,000,000 aggregate principal amount of its 5.050% senior notes due 2035 (the “notes”). Interest on the notes is payable on March 19 and September 19 of eac |
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| September 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 16, 2025 The Carlyle Group Inc. |
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| September 17, 2025 |
Carlyle Prices $800 Million Senior Notes Offering EX-99.1 Exhibit 99.1 Carlyle Prices $800 Million Senior Notes Offering Washington, DC, September 16, 2025 – Global investment firm Carlyle (NASDAQ: CG) priced its offering of $800 million aggregate principal amount of 5.050% senior notes due 2035. The notes will be fully and unconditionally guaranteed by Carlyle’s indirect subsidiaries Carlyle Holdings I L.P., Carlyle Holdings II L.L.C., Carlyle H |
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| September 17, 2025 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| September 16, 2025 |
Subject to Completion, dated September 16, 2025 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-270745 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are part of an effective registration statement filed with the Securities and Exchange Commission. This preliminary pr |
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| September 16, 2025 |
The Carlyle Group Inc. 5.050% Senior Notes due 2035 Final Pricing Term Sheet September 16, 2025 FWP Free Writing Prospectus Filed pursuant to Rule 433 Supplementing the Preliminary Prospectus Supplement dated September 16, 2025 to the Prospectus dated March 22, 2023 Registration No. |
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| September 16, 2025 |
EX-4.2 Exhibit 4.2 INDENTURE Dated as of [•], [•] Among THE CARLYLE GROUP INC., THE GUARANTORS NAMED HEREIN and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee CERTAIN SECTIONS OF THIS INDENTURE RELATING TO SECTIONS 310 THROUGH 318 INCLUSIVE, OF THE TRUST INDENTURE ACT OF 1939 Trust Indenture Act Section Indenture Section Section 310(a)(1) Section 6.09 (a)(2) Section 6.09 (a)(3) Not Ap |
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| September 16, 2025 |
Calculation of Filing Fee Tables S-3 Carlyle Group Inc. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial |
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| September 16, 2025 |
As filed with the Securities and Exchange Commission on September 16, 2025 POSASR As filed with the Securities and Exchange Commission on September 16, 2025 Registration No. |
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| September 16, 2025 |
EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) Californi |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyl |
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| August 8, 2025 |
Form of Global Restricted Stock Unit Agreement for Vested Awards to Non-Employee Directors. Exhibit 10.3 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement (Fully Vested RSUs in Lieu of Cash Portion of Retainer) Participant: Date of Grant: Number of RSUs: Date of Election: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant |
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| August 8, 2025 |
Exhibit 10.1 Execution Version CERTAIN INFORMATION, IDENTIFIED BY AND REPLACED WITH A MARK OF “[***],” HAS BEEN EXCLUDED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. U.S. $1,000,000,000 THIRD AMENDED AND RESTATED CREDIT AGREEMENT dated as of May 29, 2025 among TC GROUP CAYMAN, L.P. CARLYLE INVESTMENT MANAGEMENT L.L. |
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| August 8, 2025 |
Senior and Subordinated Notes, Issuers, and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| August 8, 2025 |
cg20250630exhibit105 Operator JAFS Flight Support Services Agreement Page 1 FLIGHT SUPPORT SERVICES AGREEMENT This Flight Support Services Agreement (the “Agreement”) is made and entered into as of , by and between Jet Aviation Flight Services, Inc. |
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| August 8, 2025 |
cg20250630exhibit104 1 AIRCRAFT LEASE AGREEMENT This AIRCRAFT LEASE AGREEMENT (the "Agreement") is entered into as of this 21st day of April, 2025 (the "Effective Date"), by and between Falstaff Partners LLC, a Delaware limited liability company ("Lessor"), and Carlyle Investment Management L. |
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| August 8, 2025 |
Form of Global Restricted Stock Unit Agreement for Time-Based Awards to Non-Employee Directors. Exhibit 10.2 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of the Date of Grant set forth above, on the |
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| August 6, 2025 |
cg202506308-kexx992edgar AUGUST 6, 2025 Carlyle Reports Second Quarter 2025 Financial Results Carlyle Reports Second Quarter 2025 Financial Results WASHINGTON, D. |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 The Carlyle Group Inc. |
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| August 6, 2025 |
Page | 1 Exhibit 99.1 Carlyle Reports Second Quarter 2025 Financial Results Washington, D.C. and New York, August 6, 2025 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the second quarter ended June 30, 2025. The full detailed presentation of Carlyle’s second quarter 2025 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q2 2025 i |
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| July 29, 2025 |
40-6B/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 File No. 813-00404 The Carlyle Group Inc. CP VIII Coinvestment B, L.P. (Name of Applicants) 1001 Pennsylvania Avenue, NW Washington, DC 20004 (Address of Principal Executive Offices of Applicants) AMENDMENT NO. 3 TO APPLICATION PURSUANT TO SECTIONS 6(b) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940 FOR AN ORDER EXEMPTING APPLICANTS |
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| July 28, 2025 |
Page | 1 Exhibit 99.1 Press Release – FOR IMMEDIATE RELEASE Carlyle Announces Senior Leadership Appointments July 28, 2025 John Redett, Mark Jenkins, and Jeff Nedelman to become Co-Presidents of Carlyle Justin Plouffe to succeed John Redett as Chief Financial Officer of Carlyle Michael Wand to become Head of EMEA Investments of Carlyle Admiral James Stavridis, former Supreme Allied Commander at NA |
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| July 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2025 The Carlyle Group Inc. |
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| May 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2025 The Carlyle Group Inc. |
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| May 9, 2025 |
Form of Global Restricted Stock Unit Agreement for Bonus Deferral Awards. Exhibit 10.2 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms and |
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| May 9, 2025 |
Form of Global Restricted Stock Unit Agreement for Time-Based Awards. Exhibit 10.1 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms and |
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| May 9, 2025 |
Senior and Subordinated Notes, Issuers, and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| May 9, 2025 |
Exhibit 10.3 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Performance-Based Restricted Stock Unit Agreement Participant: Date of Grant: Number of PSUs: 1.Grant of PSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of performance-based restricted stock units (the “PSUs”) listed above to the Participant (the “Award”), effective as of [] (th |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 8, 2025 |
cg202503318-kexx992edgar MAY 8, 2025 Carlyle Reports First Quarter 2025 Financial Results Carlyle Reports First Quarter 2025 Financial Results WASHINGTON, D. |
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| May 8, 2025 |
Page | 1 Exhibit 99.1 Carlyle Reports First Quarter 2025 Financial Results Washington, D.C. and New York, May 8, 2025 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2025. The full detailed presentation of Carlyle’s first quarter 2025 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q1 2025 includ |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 The Carlyle Group Inc. |
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| April 17, 2025 |
Annual Report 2024At Carlyle, we work together to create long-term value for our investors, companies, shareholders, people, and communities. |
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| April 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| April 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| February 27, 2025 |
The Carlyle Group Inc. Insider Trading Policy. Exhibit 19.1 The Carlyle Group Policies and Procedures Regarding Material, Non-Public Information and the Prevention of Insider Trading Carlyle has implemented policies and procedures (the “Insider Trading Policy”) intended to prevent the misuse of material, non-public information. •Insider Trading Generally. “Insider trading” occurs when any person purchases or sells a security (e.g., stock, bond |
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| February 27, 2025 |
Subsidiaries of the Registrant. Exhibit 21.1 LIST OF SUBSIDIARIES Company Name Jurisdiction of Incorporation or Organization Abingworth Bioventures 8 GP LP Scotland Abingworth Bioventures GP Limited England & Wales Abingworth Bioventures V GP limited Scotland Abingworth CCD 2 General Partner LLP Scotland Abingworth CCD General Partner LLP Scotland Abingworth CCD GP Limited England & Wales Abingworth Clinical Co-Development Fund |
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| February 27, 2025 |
Form of Outside Director Deferral and Stock Election Form. Exhibit 10.34 THE CARLYLE GROUP INC. [] OUTSIDE DIRECTOR DEFERRAL AND STOCK ELECTION FORM This election relates to the restricted stock unit awards (“RSUs”) and cash fees (“Cash Compensation”) anticipated to be granted or paid to non-employee directors of The Carlyle Group Inc.’s (the “Company”) Board of Directors (the “Board”) for services performed in []. Capitalized terms not otherwise defined |
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| February 27, 2025 |
Senior and Subordinated Notes, Issuers, and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| February 27, 2025 |
Employment Agreement of Lindsay LoBue, dated as of September 28, 2023. Exhibit 10.21 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between Employer and Employee on the Effective Date. Capitalized terms used in this Agreement, but not otherwise defined in this Agreement, have the meanings given to such terms in the Appendix of Key Terms, which is attached to this Agreement as Attachment 1, and is considered a part of this Agr |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyle Gr |
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| February 12, 2025 |
EX-99 3 ex99.htm Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information con |
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| February 12, 2025 |
EX-24 2 ex24.htm Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, Erica Herberg, |
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| February 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2025 The Carlyle Group Inc. |
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| February 11, 2025 |
cg202412318-kexx992edgar Carlyle Reports Fourth Quarter and Full-Year 2024 Financial Results FEBRUARY 11, 2025 Carlyle Reports Fourth Quarter and Full-Year 2024 Financial Results WASHINGTON, DC AND NEW YORK, NY – February 11, 2025 – Global investment firm The Carlyle Group Inc. |
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| February 11, 2025 |
Page | 1 Exhibit 99.1 Carlyle Reports Fourth Quarter and Full-Year 2024 Financial Results Washington, DC and New York, NY – February 11, 2025 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the fourth quarter and full-year ended December 31, 2024. The full detailed presentation of Carlyle’s fourth quarter and full-year 2024 results can be viewe |
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| November 21, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 |
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| November 15, 2024 |
CG / The Carlyle Group Inc. / Carlyle Group Management L.L.C. - SC 13D/A Activist Investment SC 13D/A 1 cgmgmtllc20241115x13d.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* The Carlyle Group Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 14316J108 (CUSIP Number) Jeffrey W. Ferguson General Counsel The Carlyle Group Inc. 1001 Pennsylvania Aven |
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| November 14, 2024 |
ZI / ZoomInfo Technologies Inc. / Carlyle Group Inc. Passive Investment SC 13G/A 1 formsc13ga.htm United states Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4)* ZoomInfo Technologies Inc. (Name of Issuer) Common Stock, par value $0.01 |
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| November 12, 2024 |
CSLR / Complete Solaria, Inc. / Carlyle Group Inc. Passive Investment SC 13G/A 1 formsc13ga.htm United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Complete Solaria, Inc. (Name of Issuer) Common Stock, par value $0.0001 ( |
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| November 8, 2024 |
CG / The Carlyle Group Inc. / BlackRock, Inc. Passive Investment SC 13G/A 1 us14316j1088110824.txt us14316j1088110824.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) Carlyle Group, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 14316J108 - (CUSIP Number) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| November 7, 2024 |
NOVEMBER 7, 2024 Carlyle Reports Third Quarter 2024 Financial Results Carlyle Reports Third Quarter 2024 Financial Results WASHINGTON, D. |
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| November 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 The Carlyle Group Inc. |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The C |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The C |
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| November 7, 2024 |
Page | 1 Exhibit 99.1 Carlyle Reports Third Quarter 2024 Financial Results Washington, D.C. and New York, November 7, 2024 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the third quarter ended September 30, 2024. The full detailed presentation of Carlyle’s third quarter 2024 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q3 20 |
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| November 7, 2024 |
Senior and Subordinated Notes, Issuers, and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| November 7, 2024 |
Exhibit 10.1 $500,000,000 REVOLVING CREDIT AGREEMENT Dated as of December 17, 2018 as amended by Amendment No. 1 on December 16, 2019, Amendment No. 2 on December 15, 2020, Amendment No. 3 on September 1, 2021, Amendment No. 4 on January 25, 2022, Amendment No. 5 on August 23, 2023 and Amendment No. 6 on August 21, 2024 Among TCG CAPITAL MARKETS L.L.C. TCG SENIOR FUNDING L.L.C. as Borrowers, THE L |
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| October 24, 2024 |
CG / The Carlyle Group Inc. / BlackRock, Inc. Passive Investment SC 13G/A 1 us14316j1088102424.txt us14316j1088102424.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) Carlyle Group, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 14316J108 - (CUSIP Number) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| October 21, 2024 |
SLNO / Soleno Therapeutics, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 ( |
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| October 15, 2024 |
SLNO / Soleno Therapeutics, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d726271dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washingt |
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| October 10, 2024 |
SLNO / Soleno Therapeutics, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 |
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| October 10, 2024 |
SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* OnKure Therapeutics, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 68277Q105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 7 |
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| October 10, 2024 |
EX-99.6 Exhibit 6 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, Erica Herberg, Anat Holt |
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| September 10, 2024 |
SLNO / Soleno Therapeutics, Inc. / Carlyle Group Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5 |
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| August 6, 2024 |
filed with the Securities and Exchange Commission on August 6, 2024. As filed with the Securities and Exchange Commission on August 6, 2024. Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 45-2832612 (State or other jurisdiction of incorporation or organization |
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| August 6, 2024 |
Form of Global Restricted Stock Unit Agreement for Time-Based Awards to Non-Employee Directors. The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms and conditions h |
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| August 6, 2024 |
Calculation of Filing Fee Tables S-8 Carlyle Group Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock Other 19,000,000 $ 40.39 $ 767,410,000.00 0.0001476 $ 113,269.72 Total Offering Amounts: $ 767,410,00 |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyl |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyl |
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| August 6, 2024 |
Senior and Subordinated Notes, Issuers, and Guarantors. Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| August 5, 2024 |
cg202406308-kexx992edgar AUGUST 5, 2024 Carlyle Reports Second Quarter 2024 Financial Results Carlyle Reports Second Quarter 2024 Financial Results NEW YORK AND WASHINGTON – August 5, 2024 – Global investment firm The Carlyle Group Inc. |
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| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2024 The Carlyle Group Inc. |
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| August 5, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Address and Telepho |
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| August 5, 2024 |
Exhibit 99.1 Carlyle Reports Second Quarter 2024 Financial Results New York and Washington, August 5, 2024 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the second quarter ended June 30, 2024. The full detailed presentation of Carlyle’s second quarter 2024 results can be viewed at ir.carlyle.com. U.S. GAAP results for the three and six months |
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| July 30, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 |
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| July 24, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 |
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| July 15, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Address and Telepho |
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| July 11, 2024 |
Power of Attorney (previously filed). EX-24 CUSIP No. 20460L104 Schedule 13G Page 26 of 27 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan B |
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| July 11, 2024 |
CSLR / Complete Solaria, Inc. / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Complete Solaria, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 2 |
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| July 8, 2024 |
US13781Y1111 / Cano Health Inc / Carlyle Group Inc. - SC 13D Activist Investment SC 13D 1 d862620dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Cano Health, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 13781Y103* (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-562 |
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| July 8, 2024 |
EX-99.1 2 d862620dex991.htm EX-99.1 CUSIP No. 13781Y103 13D Page 1 of 2 pages Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13D. Each of them is responsible for the timely filing of such statement and any amendments thereto, |
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| July 8, 2024 |
EX-99.2 3 d862620dex992.htm EX-99.2 Exhibit 2 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederi |
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| June 25, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2 )* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Address and Teleph |
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| May 31, 2024 |
THE CARLYLE GROUP INC. AMENDED AND RESTATED 2012 EQUITY INCENTIVE PLAN (as amended through May 29, 2024) 1.Purpose of the Plan The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan (as amended through May 29, 2024) (the “Plan”) is designed to promote the long term financial interests and growth of The Carlyle Group Inc., a Delaware corporation and its Affiliates by (i) attracting |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2024 The Carlyle Group Inc. |
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| May 14, 2024 |
EX-99.4 Exhibit 4 10b5-1 Plan (Sales) Rule 10b5-1 Selling Plan May 12, 2024 This plan (the “Plan”) will confirm the agreement between Carlyle Partners VI Cayman Holdings, L.P. (the “Client”) and BofA Securities, Inc. (“BofA”), pursuant to which BofA has been appointed by the Client to sell outstanding shares of the common stock of QuidelOrtho Corporation (the “Issuer”) named in Exhibit A (the “Sha |
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| May 14, 2024 |
EX-99.3 Exhibit 3 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, Erica Herberg, Anat Holt |
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| May 14, 2024 |
QDEL / QuidelOrtho Corporation / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* QuidelOrtho Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 219798105 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Address a |
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| May 13, 2024 |
EX-99.4 2 d821369dex994.htm EX-99.4 Exhibit 4 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederi |
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| May 13, 2024 |
EFTR / eFFECTOR Therapeutics, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d821369dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* eFFECTOR Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 28202V108 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washin |
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| May 7, 2024 |
Senior and Subordinated Notes, Issuers and Guarantors. Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 7, 2024 |
Form of Global Restricted Stock Unit Agreement for 2024 Time-Based Awards. The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms and conditions h |
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| May 7, 2024 |
Form of Global Restricted Stock Unit Agreement for 2024 Bonus Deferral Awards. The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1.Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms and conditions h |
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| May 7, 2024 |
The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Performance-Based Restricted Stock Unit Agreement Participant: Date of Grant: Number of PSUs: 1.Grant of PSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of performance-based restricted stock units (the “PSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Gr |
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| May 1, 2024 |
Exhibit 99.1 Carlyle Reports First Quarter 2024 Financial Results New York and Washington, May 1, 2024 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2024. The full detailed presentation of Carlyle’s first quarter 2024 results can be viewed at ir.carlyle.com. U.S. GAAP results for Q1 2024 included income (loss |
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| May 1, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2024 The Carlyle Group Inc. |
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| May 1, 2024 |
MAY 1, 2024 EXHIBIT 99.2 Carlyle Reports First Quarter 2024 Financial Results Carlyle Reports First Quarter 2024 Financial Results NEW YORK AND WASHINGTON – May 1, 2024 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2024. U.S. GAAP Results U.S. GAAP results for Q1 2024 included income before provision for inco |
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| April 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| April 18, 2024 |
Annual Report 2023invest wisely create value At Carlyle, our mission is to invest wisely and create value. |
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| April 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| April 3, 2024 | ||
| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2024 The Carlyle Group Inc. |
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| April 3, 2024 |
News Release April 3, 2024 Carlyle Appoints Afsaneh M. Beschloss as an Independent Director Dr. Thomas S. Robertson retires from the Board after 12 years of service NEW YORK and WASHINGTON – Global investment firm Carlyle (NASDAQ: CG) today announced the appointment of Afsaneh M. Beschloss, a leader in sustainable and inclusive investing (and policy) and founder and CEO of RockCreek, one of the wo |
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| March 29, 2024 |
GB:0T6G / Q32 Bio Inc. / Carlyle Group Inc. - SC 13G Passive Investment SC 13G Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Q32 Bio Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 746 |
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| March 29, 2024 |
EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. |
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| March 29, 2024 |
EX-24 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. |
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| March 27, 2024 |
Exhibit 99.1 News Release MARCH 27, 2024 Carlyle Names Lindsay LoBue as Chief Operating Officer Chris Finn retires from Carlyle after 28 years of service NEW YORK and WASHINGTON – Global investment firm Carlyle (NASDAQ: CG) today announced that Lindsay LoBue will become Carlyle’s Chief Operating Officer, effective July 1, 2024. As COO, LoBue will oversee the firm’s operational strategy, ensuring t |
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| March 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2024 The Carlyle Group Inc. |
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| March 5, 2024 |
CG / The Carlyle Group Inc. / Carlyle Group Management L.L.C. - SC 13D/A Activist Investment SC 13D/A 1 cgmgmtllc20240305x13d.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* The Carlyle Group Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 14316J108 (CUSIP Number) Jeffrey W. Ferguson General Counsel The Carlyle Group Inc. 1001 Pennsylvania Aven |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyle Gr |
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| February 22, 2024 |
Form of Restrictive Covenant Letter for Certain Executive Officers. [DATE] [NAME] Dear [NAME]: As described in this letter agreement (this “Agreement”), effective as of [], in consideration of, as applicable: (a) your receipt of any base salary increase; (b) any promotion in your title or role; (c) your eligibility for and receipt of any incentive compensation, including, but not limited to, any year-end discretionary bonus; (d) your continued employment with The Carlyle Group Employee Co. |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyle Gr |
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| February 22, 2024 |
$500,000,000 REVOLVING CREDIT AGREEMENT Dated as of December 17, 2018 as amended by Amendment No. |
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| February 22, 2024 |
Senior and Subordinated Notes, Issuers and Guarantors. Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| February 22, 2024 |
The Carlyle Group Inc. Dodd-Frank Incentive Compensation Clawback Policy. THE CARLYLE GROUP INC. Dodd-Frank Incentive Compensation Clawback Policy (As Adopted on November 3, 2023 Pursuant to Nasdaq Rule 5608) Overview. The Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of The Carlyle Group Inc. (the “Company”) has adopted this Dodd- Frank Incentive Compensation Clawback Policy (the “Policy”) which requires the recoupment of certain ince |
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| February 22, 2024 |
Subsidiaries of the Registrant. Exhibit 21.1 LIST OF SUBSIDIARIES Company Name Jurisdiction of Incorporation or Organization Abingworth Bioventures 8 GP LP Scotland Abingworth Bioventures GP Limited England & Wales Abingworth Bioventures V GP limited Scotland Abingworth CCD 2 General Partner LLP Scotland Abingworth CCD General Partner LLP Scotland Abingworth CCD GP Limited England & Wales Abingworth Clinical Co-Development Fund |
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| February 13, 2024 |
CG / The Carlyle Group Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0032-carlylegroupincthe.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Carlyle Group Inc/The Title of Class of Securities: Common Stock CUSIP Number: 14316J108 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to desi |
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| February 12, 2024 |
MKSI / MKS Instruments, Inc. / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A 1 d792127dsc13ga.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* MKS Instruments, Inc. (Name of Issuer) Common Stock, no par value (Title o |
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| February 12, 2024 |
CG / The Carlyle Group Inc. / MORGAN STANLEY - MS AMENDMENT Passive Investment SC 13G/A 1 CarlyleGroupIncCG.txt MS AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* Carlyle Group Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 14316J108 - (CUSIP Number) December 31, 2023 - (Date Of Event which Requires Filing of this Statement) Check the appropriate |
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| February 12, 2024 |
EX-24 2 d766962dex24.htm EX-24 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, |
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| February 12, 2024 |
EX-24 2 d714950dex24.htm EX-24 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, |
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| February 12, 2024 |
US4718711033 / JASPER THERAPEUTICS INC / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d661434dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Jasper Therapeutics, Inc. (Name of Issuer) Voting Common Stock, par value $0.0001 per share (Title of Class of Securities) 471871103 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Sui |
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| February 12, 2024 |
ZI / ZoomInfo Technologies Inc. / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A 1 d792139dsc13ga.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* ZoomInfo Technologies Inc. (Name of Issuer) Common Stock, par value $0.01 |
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| February 12, 2024 |
EX-99.4 2 d661434dex994.htm EX-99.4 Exhibit 4 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederi |
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| February 12, 2024 |
EX-24 2 d792127dex24.htm EX-24 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederick, |
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| February 12, 2024 |
PHAT / Phathom Pharmaceuticals, Inc. / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A 1 d766962dsc13ga.htm SC 13G/A ITEM 1. Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1 )* Phathom Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par |
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| February 12, 2024 |
EX-99.24 2 d792139dex9924.htm EX-99.24 Exhibit 24 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Fre |
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| February 12, 2024 |
HLVX / HilleVax, Inc. / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A 1 d714950dsc13ga.htm SC 13G/A Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* HilleVax, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share |
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| February 9, 2024 |
CG / The Carlyle Group Inc. / Capital World Investors - SEC SCHEDULE 13G Passive Investment SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* The Carlyle Group Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14316J108 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| February 7, 2024 |
Carlyle Reports Fourth Quarter and Full-Year 2023 Financial Results Exhibit 99.1 Carlyle Reports Fourth Quarter and Full-Year 2023 Financial Results New York and Washington – February 7, 2023 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the fourth quarter and full-year ended December 31, 2023. The full detailed presentation of Carlyle's fourth quarter and full-year 2023 results can be viewed here. Carlyle Ch |
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| February 7, 2024 |
ACET / Adicet Bio, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d682129dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Adicet Bio, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 007002108 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. |
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| February 7, 2024 |
EX-99.2 2 d682129dex992.htm EX-99.2 Exhibit 2 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Frederi |
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| February 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2024 The Carlyle Group Inc. |
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| February 7, 2024 |
Carlyle Reports Fourth Quarter and Full-Year 2023 Financial Results FEBRUARY 7, 2024 Carlyle Reports Fourth Quarter and Full-Year 2023 Financial Results WASHINGTON, DC AND NEW YORK, NY – FEBRUARY 7, 2024 – Global investment firm The Carlyle Group Inc. |
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| January 25, 2024 |
CG / The Carlyle Group Inc. / BlackRock Inc. Passive Investment SC 13G 1 us14316j1088012524.txt us14316j1088012524.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) Carlyle Group, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 14316J108 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box t |
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| January 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 17, 2024 The Carlyle Group Inc. |
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| January 3, 2024 |
COMM / CommScope Holding Company, Inc. / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* CommScope Holding Company, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 20337X109 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5 |
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| November 7, 2023 | ||
| November 7, 2023 |
Senior and Subordinated Notes, Issuers and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| November 7, 2023 |
Carlyle Reports Third Quarter 2023 Financial Results Exhibit 99.1 Carlyle Reports Third Quarter 2023 Financial Results New York and Washington, November 7, 2023 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the third quarter ended September 30, 2023. The full detailed presentation of Carlyle's third quarter 2023 results can be viewed here. Carlyle Chief Executive Officer Harvey M. Schwartz said |
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| November 7, 2023 |
R-14 7 G-19 5 B-19 7 R-88 G-15 9 B-16 5 R-13 6 G-18 0 B-83 R-16 3 G-14 3 B-18 7 R-0 G-74 B-13 6 R-18 5 G-21 1 B-15 3 R-11 8 G-92 B-15 0 R-22 0 G-22 1 B-23 2 R-14 0 G-14 1 B-15 2R-12 0 G-16 9 B-22 2 R-88 G-89 B-91 R-23 4 G- 234 B-23 4R-20 8 G-23 2 B-24 7 R-65 G-64 B-66 R-8 G-51 B-94 R-16 7 G-16 9 B-17 1 R-9 G-10 2 B-11 2 R-22 0 G-22 1 B-22 2 R-97 G-16 1 B-22 4R-23 7 G-21 7 B-15 7R-14 7 G-19 5 B-19 7 Old Color s November 7, 2023 Carlyle Reports Third Quarter 2023 Financial Results Carlyle Reports Third Quarter 2023 Financial Results NEW YORK AND WASHINGTON – November 7, 2023 – Global investment firm The Carlyle Group Inc. |
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| November 7, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2023 The Carlyle Group Inc. |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The C |
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| October 16, 2023 |
SLNO / Soleno Therapeutics Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d568263dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washingto |
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| October 3, 2023 |
EX-99.4 2 d533581dex994.htm EX-99.4 Exhibit 99.4 POWER OF ATTORNEY The undersigned understands that, from time to time, the Carlyle Companies (defined below) are required to prepare, execute, and file certain federal and state securities laws filings. Know all by these presents, that the undersigned hereby constitutes and appoints each of Jeffrey Ferguson, Jeremy Anderson, Chintan Bhatt, Anne Fred |
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| October 3, 2023 |
SLNO / Soleno Therapeutics Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 ( |
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| September 22, 2023 |
CSLR / Complete Solaria Inc. / Carlyle Group Inc. - SC 13G Passive Investment SC 13G Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Complete Solaria, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 2046 |
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| September 22, 2023 |
Joint Filing Agreement (previously filed). EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. |
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| September 14, 2023 |
VCIF / Carlyle Credit Income Fund / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Carlyle Credit Income Fund (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 92535C104 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-562 |
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| August 30, 2023 |
VCIF / Carlyle Credit Income Fund / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Carlyle Credit Income Fund (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 92535C104 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-562 |
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| August 18, 2023 |
SLNO / Soleno Therapeutics Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d487880dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washingto |
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| August 18, 2023 |
EFTR / eFFECTOR Therapeutics Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A 1 d542030dsc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* eFFECTOR Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 28202V108 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washin |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 The Carlyle Group Inc. |
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| August 2, 2023 |
VERA / Vera Therapeutics Inc - Class A / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Vera Therapeutics, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 92337R101 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729- |
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| August 2, 2023 |
Senior and Subordinated Notes, Issuers and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| August 2, 2023 |
Carlyle Reports Second Quarter 2023 Financial Results Exhibit 99.1 Carlyle Reports Second Quarter 2023 Financial Results New York and Washington, August 2, 2023 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the second quarter ended June 30, 2023. The full detailed presentation of Carlyle's second quarter 2023 results can be viewed here. Carlyle Chief Executive Officer Harvey M. Schwartz said, “W |
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| August 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carlyl |
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| August 2, 2023 |
cg20236308-kexx992edgar R-14 7 G-19 5 B-19 7 R-88 G-15 9 B-16 5 R-13 6 G-18 0 B-83 R-16 3 G-14 3 B-18 7 R-0 G-74 B-13 6 R-18 5 G-21 1 B-15 3 R-11 8 G-92 B-15 0 R-22 0 G-22 1 B-23 2 R-14 0 G-14 1 B-15 2R-12 0 G-16 9 B-22 2 R-88 G-89 B-91 R-23 4 G- 234 B-23 4R-20 8 G-23 2 B-24 7 R-65 G-64 B-66 R-8 G-51 B-94 R-16 7 G-16 9 B-17 1 R-9 G-10 2 B-11 2 R-22 0 G-22 1 B-22 2 R-97 G-16 1 B-22 4R-23 7 G-21 7 B-15 7R-14 7 G-19 5 B-19 7 Old Color s August 2, 2023 EXHIBIT 99. |
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| August 2, 2023 |
Form of Global Restricted Stock Unit Agreement for Time-Based Awards to Non-Employee Directors. Exhibit 10.2 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1. Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms an |
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| July 17, 2023 |
VCIF / Carlyle Credit Income Fund / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934 Carlyle Credit Income Fund (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 92535C104 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-562 |
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| July 5, 2023 |
VERA / Vera Therapeutics Inc - Class A / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Vera Therapeutics, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 92337R101 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729- |
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| June 20, 2023 |
EX-99.1 Exhibit 99.1 Press Release Carlyle Names John Redett as Chief Financial Officer and Head of Corporate Strategy Curt Buser to retire after nearly 20 years at the firm Jim Burr succeeds John Redett as Head of Global Financial Services Washington, D.C. and New York, NY – June 20, 2023 – Global investment firm Carlyle (NASDAQ: CG) today announced that John Redett will become the firm’s Chief F |
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| June 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2023 The Carlyle Group Inc. |
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| June 16, 2023 |
As filed with the Securities and Exchange Commission on June 16, 2023. As filed with the Securities and Exchange Commission on June 16, 2023. Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 The Carlyle Group Inc. (Exact name of registrant as specified in its charter) Delaware 45-2832612 (State or other jurisdiction of incorporation or organization) |
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| June 16, 2023 |
U.S. Securities and Exchange Commission Youâve Exceeded the SECâs Traffic Limit Your request rate has exceeded the SECâs maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2023 The Carlyle Group Inc. |
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| June 2, 2023 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THE CARLYLE GROUP INC. The Carlyle Group Inc., a Delaware corporation (the “Corporation”), hereby certifies as follows: 1. The name of the corporation is The Carlyle Group Inc. The original certificate of incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on December 31, 2019. 2. This Amen |
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| June 2, 2023 |
The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan. Exhibit 10.1 THE CARLYLE GROUP INC. AMENDED AND RESTATED 2012 EQUITY INCENTIVE PLAN (as amended through May 30, 2023) 1. Purpose of the Plan The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan (as amended through May 30, 2023) (the “Plan”) is designed to promote the long term financial interests and growth of The Carlyle Group Inc., a Delaware corporation and its Affiliates by ( |
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| May 10, 2023 |
SLNO / Soleno Therapeutics Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Soleno Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 834203200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 ( |
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| May 9, 2023 |
RPHM / Reneo Pharmaceuticals Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Reneo Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 75974E103 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-562 |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35538 The Carly |
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| May 4, 2023 |
Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into by and between The Carlyle Group Inc. (the “Company”), The Carlyle Group Employee Co., L.L.C. (“Employer”), and Harvey M. Schwartz (“Employee”) on February 5, 2023 (the “Effective Date”). RECITALS A. Employer desires to employ Employee as Chief Executive Officer of the Company on the terms and conditions |
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| May 4, 2023 |
Exhibit 10.4 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1. Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms an |
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| May 4, 2023 |
Carlyle Reports First Quarter 2023 Financial Results Exhibit 99.1 Carlyle Reports First Quarter 2023 Financial Results New York and Washington, May 4, 2023 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the first quarter ended March 31, 2023. The full detailed presentation of Carlyle's first quarter 2023 results can be viewed here. Carlyle Chief Executive Officer Harvey M. Schwartz said, “We are |
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| May 4, 2023 |
Senior and Subordinated Notes, Issuers and Guarantors. Exhibit 22 Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant The following securities (collectively, the “Notes”) issued by the corresponding issuer listed below, each a wholly-owned subsidiary of The Carlyle Group Inc. |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 2 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-35 |
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| May 4, 2023 |
Exhibit 10.5 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement Participant: Date of Grant: Number of RSUs: 1. Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Grant”), on the terms an |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2023 The Carlyle Group Inc. |
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| May 4, 2023 |
Exhibit 10.6 The Carlyle Group Inc. Amended and Restated 2012 Equity Incentive Plan Form of Global Restricted Stock Unit Agreement (Performance-Vesting) Participant: Date of Grant: Number of RSUs: 1. Grant of RSUs. The Carlyle Group Inc. (the “Company”) hereby grants the number of restricted stock units (the “RSUs”) listed above to the Participant (the “Award”), effective as of [] (the “Date of Gr |
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| May 4, 2023 |
cg20233318-kexx992edgar R-14 7 G-19 5 B-19 7 R-88 G-15 9 B-16 5 R-13 6 G-18 0 B-83 R-16 3 G-14 3 B-18 7 R-0 G-74 B-13 6 R-18 5 G-21 1 B-15 3 R-11 8 G-92 B-15 0 R-22 0 G-22 1 B-23 2 R-14 0 G-14 1 B-15 2R-12 0 G-16 9 B-22 2 R-88 G-89 B-91 R-23 4 G- 234 B-23 4R-20 8 G-23 2 B-24 7 R-65 G-64 B-66 R-8 G-51 B-94 R-16 7 G-16 9 B-17 1 R-9 G-10 2 B-11 2 R-22 0 G-22 1 B-22 2 R-97 G-16 1 B-22 4R-23 7 G-21 7 B-15 7R-14 7 G-19 5 B-19 7 Old Color s May 4, 2023 EXHIBIT 99. |
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| April 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 The Carlyle Group Inc. |
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| April 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 26, 2023 |
Press release of The Carlyle Group Inc., dated April 26, 2023. Exhibit 99.1 April 26, 2023 Carlyle Appoints Sharda Cherwoo as an Independent Director NEW YORK and WASHINGTON – Global investment firm Carlyle (NASDAQ: CG) today announced the appointment of Sharda Cherwoo, retired Ernst & Young LLP (“EY”) senior partner, to serve as an independent director of its Board of Directors and a member of the Audit Committee of the Board, effective June 1, 2023. With th |
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| April 26, 2023 |
Carlyle Appoints Sharda Cherwoo as an Independent Director Exhibit 99.1 April 26, 2023 Carlyle Appoints Sharda Cherwoo as an Independent Director NEW YORK and WASHINGTON – Global investment firm Carlyle (NASDAQ: CG) today announced the appointment of Sharda Cherwoo, retired Ernst & Young LLP (“EY”) senior partner, to serve as an independent director of its Board of Directors and a member of the Audit Committee of the Board, effective June 1, 2023. With th |
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| April 13, 2023 |
US30205M2008 / Exicure Inc / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Exicure, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 30205M200 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Addre |
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| April 13, 2023 |
VERA / Vera Therapeutics Inc - Class A / Carlyle Group Inc. - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Vera Therapeutics, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 92337R101 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729- |
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| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 12, 2023 |
Built on Resilience Designed for Growth ANNUAL REPORT 2022CARLYLE ANNUAL REPORT 20221 Table of Contents 06 LETTER TO SHAREHOLDERS Delivering Results in a Volatile Market 24 GLOBAL INVESTMENT SOLUTIONS Investing Through Deep Relationships and Robust Portfolio Construction 08 OUR GLOBAL REACH A Global Distribution 10 FINANCIALS Long-Term Growth 14 GLOBAL PRIVATE EQUITY Building Diversified Portfolios |
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| March 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| March 22, 2023 |
Exhibit 99.1 FGH Parent, L.P. Consolidated Financial Statements As of and for the years ended December 31, 2022 (not covered by the auditor’s report) and 2021 (not covered by the auditor’s report) FGH Parent, L.P. Consolidated Financial Statements Table of Contents Consolidated Financial Statements Consolidated Balance Sheets 1 Consolidated Statements of Income (Loss) 3 Consolidated Statements of |
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| March 22, 2023 |
Exhibit 99.2 FGH Parent, L.P. Consolidated Financial Statements As of December 31, 2020 and for the period from June 2, 2020 to December 31, 2020 (Successor Partnership), and the period from January 1, 2020 to June 1, 2020 (Predecessor Company) Consolidated Financial Statements | FGH Parent, L.P. FGH Parent, L.P. Consolidated Financial Statements Table of Contents Consolidated Financial Statements |
