0000899243-23-005497.txt : 20230217 0000899243-23-005497.hdr.sgml : 20230217 20230217171518 ACCESSION NUMBER: 0000899243-23-005497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230215 FILED AS OF DATE: 20230217 DATE AS OF CHANGE: 20230217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ HARVEY M CENTRAL INDEX KEY: 0001566418 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35538 FILM NUMBER: 23644023 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS & CO. LLC STREET 2: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Carlyle Group Inc. CENTRAL INDEX KEY: 0001527166 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 452832612 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O THE CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE, N.W. CITY: WASHINGTON STATE: DC ZIP: 20004 BUSINESS PHONE: 202 729 5626 MAIL ADDRESS: STREET 1: C/O THE CARLYLE GROUP STREET 2: 1001 PENNSYLVANIA AVENUE, N.W. CITY: WASHINGTON STATE: DC ZIP: 20004 FORMER COMPANY: FORMER CONFORMED NAME: Carlyle Group L.P. DATE OF NAME CHANGE: 20110801 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-02-15 0 0001527166 Carlyle Group Inc. CG 0001566418 SCHWARTZ HARVEY M 1001 PENNSYLVANIA AVENUE, NW WASHINGTON DC 20004 1 1 0 0 Chief Executive Officer Common Stock 2023-02-15 4 A 0 2031602 0.00 A 2031602 D Common Stock 2023-02-15 4 A 0 4730617 0.00 A 6762219 D These securities are a restricted stock unit award and will be eligible to vest as to 25% of such award on February 1 of each of 2024, 2025, 2026, and 2027, in each case, with settlement to occur in December of the prior year, subject to clawback if the service requirement is not met. These securities are a restricted stock unit award that is eligible to vest in five equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($42.74, $51.29, $58.12, $64.96, and $71.80, respectively) and the $64.96 and $71.80 tranches are also subject to performance-based vesting conditions relating to total shareholder return (linked to the 60th percentile of the constituent companies in the S&P 500 Financials Index). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years, three years, four years, and five years, respectively. The period for measuring the achievement of the stock price hurdles ends on January 31, 2028 and any restricted stock units that have not vested as of February 1, 2028 will be forfeited. /s/ Anne K. Frederick by power of attorney for Harvey M. Schwartz 2023-02-17