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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)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| 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 |
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 |
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 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 |
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 |
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 |
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 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 |
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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| 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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| 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 |
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 |
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 |
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 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 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 |
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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| 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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| 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 |
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 |
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 |
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 |
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 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 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 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 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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| 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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| 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 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 |
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 |
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 |
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 |
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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| 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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| 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 |
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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| 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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| 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 |
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 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 |
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 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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| 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 |
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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| 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 |
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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| 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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| 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 |
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 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 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 |
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 |
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 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 |
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 |
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 |
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 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)) ☒ 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 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, 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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| 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 | ||
| 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 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 |
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 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 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 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 |
$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 |
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 |
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 |
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 |
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 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 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 |
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 |
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 |
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-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 |
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 |
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 |
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 |
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 |
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 |
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 |
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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| 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 |
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 |
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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| 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 |
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 |
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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| 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 |
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 | ||
| 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 |
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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| 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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| 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 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 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 |
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 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 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 |
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 |
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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| 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 |
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 |
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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| 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 |
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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| 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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| 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 |
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 |
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 10.4 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 |
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 |
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 10.5 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 |
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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| 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 |
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 |
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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| 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 |
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 |
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 |
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 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 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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| 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 |
As filed with the U.S. Securities and Exchange Commission on March 22, 2023 As filed with the U.S. Securities and Exchange Commission on March 22, 2023 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) |
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| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 (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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| March 22, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) The Carlyle Group Inc. |
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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 |
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| March 9, 2023 |
PHAT / Phathom Pharmaceuticals 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. )* Phathom Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of |
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| March 9, 2023 |
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 9, 2023 |
EX-99 3 d822401dex99.htm 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. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the i |
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| February 27, 2023 |
Exhibit 99.1 News Release Monday, February 27, 2023 Peter Clare to Retire from Carlyle and as a Member of the Board of Directors after 31 years at the Firm Sandra Horbach and Brian Bernasek to Become Co-Heads of Americas Corporate Private Equity Washington, D.C. and New York, NY – Global investment firm Carlyle (NASDAQ: CG) today announced that Peter Clare, Chief Investment Officer of Corporate Pr |
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| February 27, 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): February 24, 2023 The Carlyle Group Inc. |
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| February 23, 2023 |
SPRB / Spruce Biosciences 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)* Spruce Biosciences, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 85209E109 (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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| February 13, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) The Carlyle Group Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Maximum Offering Price Per Unit (2) Aggregate Offering Price (2) Fee Rate Amount of Registration Fee Equity Common Stock Other 8,000,000 $3 |
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| February 13, 2023 |
CG / Carlyle Group Inc / Capital World Investors - SEC SCHEDULE 13G Passive Investment SC 13G/A 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. 1 )* Carlyle Group Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14316J108 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| February 13, 2023 |
Exhibit 4.4 THE CARLYLE GROUP INC. INDUCEMENT AWARD 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 February 15, 2023 (the “Date of Grant”), on the term |
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| February 13, 2023 |
As filed with the Securities and Exchange Commission on February 13, 2023. As filed with the Securities and Exchange Commission on February 13, 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 organizat |
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| February 13, 2023 |
Exhibit 4.3 THE CARLYLE GROUP INC. INDUCEMENT AWARD 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 February 15, 2023 (the “Date of Grant”), on the terms and conditions hereinafter |
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| February 10, 2023 |
CG / Carlyle Group Inc / Rubenstein David M. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* The Carlyle Group Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14316J108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 10, 2023 |
HLVX / HilleVax 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)* HilleVax, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) |
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| February 10, 2023 |
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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| February 10, 2023 |
ZI / ZoomInfo Technologies Inc. Class A / Carlyle Group Inc. - SC 13G/A Passive Investment SC 13G/A 1 d377565dsc13ga.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)* ZoomInfo Technologies Inc. (Name of Issuer) Common Stock, par value $0.01 |
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| February 10, 2023 |
Power of Attorney (previously filed). EX-24 2 d377565dex24.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 10, 2023 |
EX-24 2 d455330dex24.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 10, 2023 |
PCVX / Vaxcyte 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. 2)* Vaxcyte, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 9 |
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| February 10, 2023 |
EX-24 2 d429415dex24.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 10, 2023 |
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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| February 10, 2023 |
EX-99 3 d377565dex99.htm 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. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the i |
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| February 9, 2023 |
Employment Agreement of Bruce M. Larson, dated as of August 5, 2019. Exhibit 10.23 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 9, 2023 |
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 9, 2023 |
Senior and Subordinated Notes, Issuers and Guarantor 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 9, 2023 |
CG / Carlyle Group Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0031-carlylegroupinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Carlyle Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 14316J108 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 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, 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: 001-35538 The Carlyle Gr |
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| February 9, 2023 |
Letter Agreement of Peter Clare, dated as of December 15, 2022. Exhibit 10.24 December 15, 2022 Peter Clare Dear Peter: Pursuant to this Letter Agreement (this “Agreement”), The Carlyle Group Employee Co., L.L.C. (“Employer” and, together with its affiliates, “Carlyle”) is pleased to offer you the following arrangements in connection with your continuing provision of services to the Carlyle Private Equity Team. One-Time Bonus In exchange for your agreement to |
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| February 7, 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): February 7, 2023 The Carlyle Group Inc. |
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| February 7, 2023 |
Carlyle Announces Fourth Quarter and Full Year 2022 Financial Results Exhibit 99.1 Carlyle Announces Fourth Quarter and Full Year 2022 Financial Results Washington, DC and New York, NY – 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, 2022. The full detailed presentation of Carlyle's fourth quarter and full year 2022 results can be viewed here. |
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| February 7, 2023 |
cg202212318-kexx992edgar Carlyle Reports Fourth Quarter and Full Year 2022 Financial Results FEBRUARY 7, 2023 EXHIBIT 99. |
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| February 6, 2023 |
Harvey Schwartz Named CEO of Carlyle and Member of the Board Exhibit 99.1 Press Release - FOR IMMEDIATE RELEASE February 6, 2023 Harvey Schwartz Named CEO of Carlyle and Member of the Board Washington, D.C. and New York, NY – Global investment firm Carlyle (NASDAQ: CG) today announced that its Board of Directors has unanimously agreed to appoint Harvey M. Schwartz as Chief Executive Officer and a member of the Board, effective February 15, 2023. At that tim |
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| February 6, 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): February 5, 2023 The Carlyle Group Inc. |
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| January 31, 2023 |
US4718711033 / JASPER 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. 2)* 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 Suite 220 South Washington, D.C. |
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| January 23, 2023 |
SC 13D 1 d420426dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. ) Under the Securities Exchange Act of 1934 Vertical Capital 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 |
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| January 23, 2023 |
EX-99.3 4 d420426dex993.htm EX-99.3 Exhibit 3 TRANSACTION AGREEMENT by and between VERTICAL CAPITAL INCOME FUND and CARLYLE GLOBAL CREDIT INVESTMENT MANAGEMENT, L.L.C. DATED AS OF JANUARY 12, 2023 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS 2 1.1. Defined Terms 2 ARTICLE II TRANSACTIONS 12 2.1. Investment Advisory Agreement 12 2.2. Shareholder Payment 12 2.3. Tender Offer 13 2.4. Primary Issuan |
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| January 23, 2023 |
VOTING, SUPPORT AND STANDSTILL AGREEMENT EX-99.4 5 d420426dex994.htm EX-99.4 Exhibit 4 VOTING, SUPPORT AND STANDSTILL AGREEMENT VOTING, SUPPORT AND STANDSTILL AGREEMENT, dated as of January 12, 2023 (this “Agreement”), between Almitas Capital LLC, a Delaware limited liability company (the “Shareholder”), Carlyle Global Credit Investment Management, L.L.C., a Delaware limited liability company (“Carlyle”), and Vertical Capital Income Fund |
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| January 23, 2023 |
VOTING, SUPPORT AND STANDSTILL AGREEMENT EX-99.6 7 d420426dex996.htm EX-99.6 Exhibit 6 VOTING, SUPPORT AND STANDSTILL AGREEMENT VOTING, SUPPORT AND STANDSTILL AGREEMENT, dated as of January 12, 2023 (this “Agreement”), between High Income Securities Fund, a Massachusetts business trust (the “Shareholder”), Carlyle Global Credit Investment Management, L.L.C., a Delaware limited liability company (“Carlyle”), and Vertical Capital Income Fu |
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| January 23, 2023 |
SETTLEMENT AND VOTING AND SUPPORT AGREEMENT EX-99.8 9 d420426dex998.htm EX-99.8 Exhibit 8 SETTLEMENT AND VOTING AND SUPPORT AGREEMENT VOTING AND SUPPORT AGREEMENT, dated as of January 12, 2023 (this “Agreement”), among the clients of Saba Capital Management, L.P. (“Saba”) listed on Schedule A.1 hereto, each on a several but not joint basis (each, a “Shareholder”), Saba, Carlyle Global Credit Investment Management, L.L.C., a Delaware limited |
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| January 23, 2023 |
VOTING, SUPPORT AND STANDSTILL AGREEMENT EX-99.7 8 d420426dex997.htm EX-99.7 Exhibit 7 VOTING, SUPPORT AND STANDSTILL AGREEMENT VOTING, SUPPORT AND STANDSTILL AGREEMENT, dated as of January 12, 2023 (this “Agreement”), between Relative Value Partners Group, LLC, a Delaware limited liability company (the “Shareholder”), Carlyle Global Credit Investment Management, L.L.C., a Delaware limited liability company (“Carlyle”), and Vertical Capi |
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| January 23, 2023 |
VOTING, SUPPORT AND STANDSTILL AGREEMENT EX-99.5 6 d420426dex995.htm EX-99.5 Exhibit 5 VOTING, SUPPORT AND STANDSTILL AGREEMENT VOTING, SUPPORT AND STANDSTILL AGREEMENT, dated as of January 12, 2023 (this “Agreement”), between Bulldog Investors, LLP, a Delaware limited liability partnership (the “Shareholder”), Carlyle Global Credit Investment Management, L.L.C., a Delaware limited liability company (“Carlyle”), and Vertical Capital Inco |
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| January 23, 2023 |
EX-99.2 3 d420426dex992.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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| January 23, 2023 |
EX-99.1 2 d420426dex991.htm EX-99.1 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, and for the completeness and accuracy of t |
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| January 20, 2023 |
As filed with the Securities and Exchange Commission on January 20, 2023. As filed with the Securities and Exchange Commission on January 20, 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 organizati |
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| January 20, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) The Carlyle Group Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Maximum Offering Price Per Unit Aggregate Offering Price (2) Fee Rate Amount of Registration Fee Equity Common Stock Other 5,300,000 $33.13 |
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| December 20, 2022 |
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. 4)* 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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| December 1, 2022 |
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. 2 TO APPLICATION PURSUANT TO SECTIONS 6(b) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940 FOR AN ORDER EXEMPTING APPLICANTS FROM CE |
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| November 8, 2022 |
Carlyle Reports Third Quarter 2022 Financial Results Exhibit 99.1 Carlyle Reports Third Quarter 2022 Financial Results New York and Washington, November 8, 2022 – Global investment firm The Carlyle Group Inc. (NASDAQ: CG) today reported its unaudited results for the third quarter ended September 30, 2022. The full detailed presentation of Carlyle's third quarter 2022 results can be viewed here. Carlyle Co-founder and Interim Chief Executive Officer |
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| November 8, 2022 |
cg20229308-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 November 8, 2022 EXHIBIT 99. |
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| November 8, 2022 |
Exhibit 10.1 SEPARATION AGREEMENT This Separation Agreement (this ?Agreement?) is entered into as of August 7, 2022 by and between Kewsong Lee (?Employee?) and The Carlyle Group Employee Co., L.L.C., a Delaware limited liability company (?Employer?), on behalf of itself, its members, partners, directors, officers and any subsidiaries and affiliates controlled by, controlling, or under common contr |
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| November 8, 2022 |
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 8, 2022 |
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, 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: 001-35538 The C |
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| November 8, 2022 |
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 8, 2022 The Carlyle Group Inc. |
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| August 29, 2022 |
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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| August 29, 2022 |
MKSI / MKS Instruments, 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. )* MKS Instruments, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 55306N104 |
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| August 29, 2022 |
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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| August 11, 2022 |
US4718711033 / JASPER 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. 1)* 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 Suite 220 South Washington, D.C. 20004 (202) 72 |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
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. 2)* 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 11, 2022 |
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. |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
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. |
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| August 11, 2022 |
NCNA / NuCana plc / 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. 1)* NuCana plc (Name of Issuer) Ordinary Shares, nominal value £0.04 per share (Title of Class of Securities) 67022C106 (CUSIP Number) Jeffrey Ferguson The Carlyle Group 1001 Pennsylvania Avenue, NW Suite 220 South Washington, D.C. 20004 (202) 729-5626 (Name, Add |
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| August 11, 2022 |
XCUR / 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. 2)* 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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| August 11, 2022 |
EFTR / eFFECTOR 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. 1)* 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 Washington, D.C. 20004 (202) 729-562 |
