0001193125-20-137806.txt : 20200511 0001193125-20-137806.hdr.sgml : 20200511 20200508192733 ACCESSION NUMBER: 0001193125-20-137806 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200508 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-87218 FILM NUMBER: 20862236 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Carlyle Group Management L.L.C. CENTRAL INDEX KEY: 0001548624 IRS NUMBER: 452831199 STATE OF INCORPORATION: DE FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O THE CARLYLE GROUP L.P. STREET 2: 1001 PENNSYLVANIA AVENUE, NW CITY: WASHINGTON STATE: DC ZIP: 20004-2505 BUSINESS PHONE: 202-729-5626 MAIL ADDRESS: STREET 1: C/O THE CARLYLE GROUP L.P. STREET 2: 1001 PENNSYLVANIA AVENUE, NW CITY: WASHINGTON STATE: DC ZIP: 20004-2505 SC 13D 1 d846001dsc13d.htm SC 13D SC 13D

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

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

1001 Pennsylvania Avenue, NW

Suite 220 South

Washington, D.C. 20004

(202) 729-5626

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

May 6, 2020

(Date of Event Which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box.  ☐

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

 

 

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

CUSIP No. 14316J108

    13D    Page 2 of 4 pages

 

  1   

Names of Reporting Persons

 

Carlyle Group Management L.L.C.

  2  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3  

SEC Use Only

 

    

  4  

Source of Funds (See Instructions)

 

OO

  5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)  ☐

 

    

  6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF 

SHARES 

BENEFICIALLY 

OWNED BY 

EACH 

REPORTING 

PERSON 

WITH 

 

      7    

Sole Voting Power

 

218,248,125

     8   

Shared Voting Power

 

0

     9   

Sole Dispositive Power

 

17,000

   10   

Shared Dispositive Power

 

0

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

218,248,125

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares  ☐

 

    

13  

Percent of Class Represented by Amount in Row (11)

 

62.6%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

 

CUSIP No. 14316J108

    13D    Page 3 of 4 pages

 

This Amendment No. 2 to Schedule 13D (“Amendment No. 2”) amends and supplements the Schedule 13D originally filed with the United States Securities and Exchange Commission (“SEC”) on January 10, 2020 and amended on February 25, 2020 (as amended to date, the “Schedule 13D”), relating to the common stock, par value $0.01 per share (the “Common Stock”), of The Carlyle Group Inc., a Delaware corporation (the “Issuer”). Capitalized terms used herein without definition shall have the meaning set forth in the Schedule 13D.

The Reporting Person may be deemed to be the beneficial owner of shares of Common Stock underlying Proxies that it holds. The Reporting Person has become aware that on May 6, 2020, an employee of the Issuer made a charitable donation of 3,000,000 shares of Common Stock that previously were subject to the Proxies. Therefore, the Reporting Person is filing this Amendment No. 2. The number of shares reported as beneficially owned by the Reporting Person herein reflects changes to the number of shares of Common Stock underlying the Proxies held by the Reporting Person.

 

Item 5.

Interest in Securities of the Issuer.

Items 5(a)-(b) of the Schedule 13D are hereby amended and restated in their entirety as follows:

(a) – (b)

The following sets forth, as of May 6, 2020, the aggregate number of shares of Common Stock and percentage of shares of Common Stock beneficially owned by the Reporting Person, as well as the number of shares of Common Stock as to which the Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition of, as of May 6, 2020, based on 348,677,143 shares of Common Stock outstanding as of May 6, 2020.

 

Reporting Person   

Amount

beneficially

owned

     

Percent

of class

    

Sole power to

vote or to

direct the vote

     

Shared

power to

vote or to

direct the vote

     

Sole power

to dispose or

to direct the

disposition

     

Shared

power to

dispose or

to direct the

disposition

  

Carlyle Group Management L.L.C.

      218,248,125        62.6 %      218,248,125      0        17,000        0  

The Reporting Person directly holds 17,000 shares of Common Stock, and may be deemed to have sole voting power over 218,248,125 shares of Common Stock (including the shares underlying the Proxies).

SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: May 8, 2020     CARLYLE GROUP MANAGEMENT L.L.C.
    By:  

/s/ Jeffrey W. Ferguson

    Name:   Jeffrey W. Ferguson
    Title:   General Counsel