Business Context and Reporting Period
This filing is a Form 13F-HR (Holdings Report) submitted by Carlyle Group L.P. for the quarter ended September 30, 2016. The report was signed on November 14, 2016, by Jeffrey W. Ferguson, General Counsel. It is a combination report that includes holdings managed by Carlyle Group L.P. and two other included managers: Carlyle Investment Management LLC and CIM Global, L.L.C. The filing discloses equity securities held by the institutional investment manager but does not contain operational financial statements for Carlyle Group Inc. itself.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than corporate financial performance. Consequently, the following metrics are not applicable or present in this text:
- Revenue, Profit, Margins: Not reported in this filing type.
- Cash Flow, Debt, Liquidity: Not reported in this filing type.
- Reported Portfolio Value: The total value of the reported holdings in the Information Table is $3,758,280,000 (3,758,280 thousands).
- Number of Holdings: The report lists 19 entries in the Information Table.
Material Changes
The filing text does not provide comparative data against the prior quarter (June 30, 2016) or prior year periods. Therefore, material changes in portfolio composition, value, or specific holdings cannot be determined from this document alone.
Guidance, Outlook, and Risks
This filing contains no management commentary, forward-looking guidance, or outlook regarding the company's future performance. The document includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness. It notes that AlpInvest Partners B.V. is an indirectly wholly owned investment adviser, but Carlyle Group L.P. does not participate in its investment decision-making.
Investor Verification Checklist
- Verify that the reported portfolio value of $3.76 billion represents only the specific equity holdings disclosed in the 19 table entries, not the total assets under management (AUM) of the firm.
- Confirm that this report is a "Combination Report" covering three distinct managers (Carlyle Group L.P., Carlyle Investment Management LLC, and CIM Global, L.L.C.).
- Check subsequent filings (e.g., 10-Q or 10-K) for actual revenue, profit, and liquidity metrics, as Form 13F does not contain this data.
- Note that the filing explicitly excludes investment decision-making details for the subsidiary AlpInvest Partners B.V.