SEC Form 13F Summary: Carlyle Group Inc.
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted by Carlyle Group Inc. for the reporting period ending June 30, 2017. The document discloses the investment manager's holdings in equity securities as required by the Securities and Exchange Commission.
Key Financial Metrics and Holdings
The filing details a portfolio of 15 equity positions. The total value of these reported holdings is approximately $107.5 million (sum of Column 4 values). The portfolio is heavily concentrated in energy, infrastructure, and industrial sectors.
| Issuer | Class | Shares/Units | Value ($000s) | Voting Authority |
|---|---|---|---|---|
| USA Compression Partners LP | Comunit Ltdpar | 24,513,196 | 401,036 | Sole |
| Wesco Aircraft Hldgs Inc | Com | 23,096,882 | 250,601 | Sole |
| Enviva Partners LP | Com Unit | 12,429,342 | 341,807 | Sole |
| Fang Hldgs Ltd | ADR | 12,307,691 | 45,662 | Sole |
| Pattern Energy Group Inc | Cl A | 8,262,546 | 196,979 | Sole |
| Enduro Rty Tr | Tr Unit | 8,600,000 | 27,950 | Sole |
| Sequential Brnds Group Inc | N Com | 6,369,812 | 25,416 | Sole |
| Concord Med Svcs Hldgs Ltd | Spon ADR Cl A | 4,362,117 | 16,358 | Sole |
| Xenith Bankshares Inc | New Com New | 4,239,858 | 132,690 | Sole |
| Cobalt Intl Energy Inc | Com | 2,321,525 | 5,734 | Sole |
| Centennial Resource Dev Inc | Cl A | 1,583,477 | 25,051 | Sole |
| Rice Energy Inc | Com | 1,039,676 | 27,687 | Sole |
| Weatherford Intl Plc | Ord Shs | 1,000,000 | 3,870 | Sole |
| Superior Energy Svcs Inc | Com | 914,934 | 9,543 | Sole |
| Vistra Energy Corp | Com | 342,520 | 5,751 | Sole |
Note: The table above lists the top holdings by value. All positions listed have "Sole" voting discretion. The filing does not provide data on Carlyle Group's own revenue, profit, cash flow, or debt levels.
Material Changes and Guidance
Material Changes: This filing is a snapshot of holdings as of June 30, 2017. It does not contain comparative data against the prior quarter (March 31, 2017) to determine material changes in position size or value.
Guidance and Outlook: The filing text does not provide management commentary, financial guidance, risk factors, or contingencies regarding Carlyle Group's future performance.
Investor Verification Checklist
- Portfolio Concentration: Verify the exposure to the energy and midstream sectors, which represent a significant portion of the reported holdings (e.g., USA Compression, Enviva, Pattern Energy).
- Valuation Accuracy: Confirm the reported market values against historical stock prices for the June 30, 2017 period, as Form 13F values are estimates.
- Complete Portfolio: Note that this table may not represent the entirety of Carlyle Group's global assets, as Form 13F only requires reporting of specific equity securities held by the investment manager.
- Voting Control: Confirm that "Sole" voting authority implies direct control over the voting decisions for these specific shares.