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 March 31, 2014. The document discloses the equity securities held by the investment manager at the end of the quarter. It does not contain financial performance data for Carlyle Group Inc. itself, but rather a list of its external portfolio holdings.
Key Financial Metrics and Portfolio Composition
The filing details 25 distinct equity positions. The total value of reported holdings is approximately $833.5 million (sum of Column 4 values). The portfolio is diversified across various sectors including technology, energy, financials, and industrials.
| Issuer | Shares Held | Value ($) | Voting Authority |
|---|---|---|---|
| Freescale Semiconductor Hldg | 4,787,702 | 196,136,895 | Sole |
| CommScope Hldg Co Inc | 2,994,720 | 121,341,970 | Sole / Shared |
| Booz Allen Hamilton Hldg Cor | 1,597,522 | 72,614,616 | Sole |
| Allison Transmission Hldgs I | 1,057,518 | 35,321,250 | Sole |
| Cobalt Intl Energy Inc | 637,955 | 34,822,878 | Sole |
| HD Supply Hldgs Inc | 953,739 | 36,471,872 | Sole |
| Wesco Aircraft Hldgs Inc | 645,557 | 29,330,184 | Sole |
| Pattern Energy Group Inc | 457,414 | 16,860,099 | Sole |
| Niska Gas Storage Partners L | 252,720 | 17,404,962 | Sole |
| Nielsen Holdings N V | 829,348 | 18,582,765 | Sole / Shared |
Note: The table above lists the top 10 holdings by value. CommScope and Nielsen Holdings appear as separate line items with different voting authority classifications.
Material Changes and Portfolio Activity
As this is a quarterly snapshot, the filing does not provide comparative data against the prior period (December 31, 2013) within the text. Therefore, specific material changes in position size or new entries versus the prior quarter cannot be determined from this document alone. The filing indicates that for most positions, the investment manager has Sole voting authority, with some instances of Shared authority (e.g., China Recycling Energy Corp, CommScope, Nielsen Holdings).
Guidance, Risks, and Contingencies
This Form 13F filing does not contain management commentary, forward-looking guidance, risk factors, or contingency disclosures. It is a statutory disclosure of holdings only. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Portfolio Concentration: Verify if the top 3 holdings (Freescale, CommScope, Booz Allen) represent a significant portion of the firm's total AUM or if this is a specific fund's portfolio.
- Voting Rights: Confirm the implications of "Shared" voting authority on specific positions like CommScope and Nielsen Holdings.
- Valuation Methodology: Note that values are reported in thousands; ensure accurate scaling when aggregating total portfolio value.
- Missing Data: Acknowledge that this filing does not report Carlyle Group's own revenue, profit, or cash flow.