Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Carlyle Group L.P. for the quarter ended September 30, 2017. The report discloses equity holdings managed by the institutional investment manager and includes data for two other included managers: Carlyle Investment Management LLC and CIM Global, L.L.C. The filing was signed by Jeffrey W. Ferguson, General Counsel, on November 13, 2017.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than the operating financial performance of the Carlyle Group itself. Consequently, metrics such as revenue, profit, cash flow, margins, and debt are not applicable to this specific report.
- Total Value of Reported Holdings: $1,576,891,000 (1,576,891 thousands)
- Total Number of Holdings Reported: 14
- Number of Other Included Managers: 2
Material Changes
The filing text does not provide comparative data against the prior period (June 30, 2017) to determine material changes in holdings or value. The document serves as a snapshot of holdings at the end of the reporting period.
Guidance, Outlook, and Risks
This filing contains no management commentary, forward-looking guidance, or risk factors regarding the Carlyle Group's business operations. It is a regulatory disclosure of securities held.
Contingencies and Unusual Items: The filing notes that AlpInvest Partners B.V. is an indirectly wholly owned investment adviser, but The Carlyle Group L.P. does not participate in its investment decision-making. Additionally, the report is a "13F Combination Report," indicating that a portion of holdings are reported by other managers.
Investor Verification Checklist
- Verify the total value of reported holdings ($1.58 billion) against the firm's total Assets Under Management (AUM) to understand the scope of this specific report.
- Confirm the specific 14 equity positions listed in the full schedule (not included in this summary text) to assess sector concentration.
- Review filings from the other included managers (Carlyle Investment Management LLC and CIM Global, L.L.C.) for a complete picture of the firm's reported equity exposure.
- Note that this filing does not reflect private equity, real estate, or credit investments, which are significant components of Carlyle's business but are not reported on Form 13F.