SEC Filing Summary: Carlyle Group Inc. (Form 13F)
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted by Carlyle Group Inc. for the reporting period ending September 30, 2023. The document discloses the equity securities held by the investment manager at the end of the quarter. It does not contain financial performance data (revenue, profit, cash flow) for Carlyle Group itself, but rather a snapshot of its investment portfolio.
Key Financial Metrics and Portfolio Composition
The filing lists 25 distinct equity positions. The total value of the reported holdings is not explicitly summed in the text, but individual position values range from approximately $199,962 to $596,587,606. Voting authority is predominantly "Sole" (DFND 1) or "Shared" (DFND 2), with no "None" authority reported for these specific lines.
| Issuer | Value (USD) | Shares | Voting Authority |
|---|---|---|---|
| ZoomInfo Technologies Inc | $596,587,606 | 36,377,293 | Shared |
| Quidelortho Corp | $910,091,766 | 12,460,183 | Shared |
| Vitru Ltd | $109,875,425 | 6,246,471 | Shared |
| MKS Instrs Inc (Position 2) | $184,049,032 | 2,126,751 | Shared |
| MKS Instrs Inc (Position 1) | $117,346,596 | 1,355,981 | Shared |
| Getty Images Holdings Inc | $63,097,377 | 9,722,246 | Shared |
| Soleno Therapeutics Inc | $67,430,723 | 2,293,562 | Sole |
| GDS Hldgs Ltd | $44,595,237 | 4,072,624 | Shared |
| Verona Pharma Plc | $40,008,100 | 2,457,500 | Sole |
| Phathom Pharmaceuticals Inc | $36,191,963 | 3,496,808 | Sole |
Note: The table above highlights the top 10 positions by value. The filing includes additional positions such as Adicet Bio, Complete Solaria, CubeSmart, and others.
Material Changes and Portfolio Strategy
As a quarterly snapshot, this filing does not provide comparative data against the prior period (June 30, 2023) to calculate material changes in holdings. However, the portfolio composition indicates a heavy concentration in:
- Technology and Data: Significant holdings in ZoomInfo, Vitru, and Getty Images.
- Biotechnology and Healthcare: Extensive exposure to clinical-stage and commercial biotech firms including Quidelortho, Soleno Therapeutics, Phathom Pharmaceuticals, and Adicet Bio.
- Industrial and Specialty: Positions in MKS Instruments and Seacor Marine Holdings.
Guidance, Risks, and Contingencies
This Form 13F filing does not contain management commentary, forward-looking guidance, or specific risk factors regarding Carlyle Group's operations. The document includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Top Holdings: Verify the current market value of the top two positions, Quidelortho Corp ($910M) and ZoomInfo Technologies ($596M), as these represent significant portfolio weight.
- Biotech Exposure: Assess the risk profile of the numerous small-cap biotechnology holdings (e.g., Adicet Bio, Effector Therapeutics, Jasper Therapeutics) which may be subject to high volatility or clinical trial outcomes.
- Voting Rights: Note that Carlyle holds "Shared" voting authority for its largest positions (ZoomInfo, Quidelortho, Vitru), implying potential co-investment or fund structures where voting rights are not solely controlled by the manager.
- Missing Data: The filing does not provide the total aggregate value of the portfolio, the number of funds represented, or the specific breakdown of "Shared" vs. "Sole" authority across the entire portfolio beyond the line-item data.