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, 2014. The document discloses the equity securities held by the investment manager at the end of the quarter. It does not contain financial statements regarding Carlyle Group's own operations, revenue, or cash flow.
Key Financial Metrics and Portfolio Holdings
The filing details a portfolio of 26 distinct equity positions. The total value of reported holdings is approximately $733.5 million based on the sum of the "Value" column in the table.
- Largest Holdings by Value:
- Freescale Semiconductor Hldg: $196.1 million
- Booz Allen Hamilton Hldg Cor: $63.0 million
- CommScope Hldg Co Inc (Combined): $101.2 million
- Sandridge Energy Inc: $51.4 million
- Hampton Roads Bankshares Inc: $42.4 million
- Voting Authority: The manager reported "Sole" voting authority for all listed positions.
- Debt and Liquidity: The filing text does not provide data on Carlyle Group's corporate debt, liquidity, or cash flow.
Material Changes
As this is a snapshot of holdings at a specific quarter-end, the filing does not explicitly state material changes compared to the prior period (June 30, 2014). However, the presence of specific positions indicates active management of these assets during the quarter.
Guidance, Outlook, and Risks
The filing contains no management commentary, forward-looking guidance, or specific risk disclosures regarding Carlyle Group's future performance. It is a statutory disclosure of current asset ownership.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio against Carlyle Group's quarterly earnings report (10-Q) to understand the proportion of assets under management represented here.
- Confirm the current market price of the top holdings (e.g., Freescale Semiconductor, Booz Allen Hamilton) to assess unrealized gains or losses since September 30, 2014.
- Check subsequent 13F filings to determine if these positions were liquidated or increased in the following quarter.
- Note that "DFND" (Defined) and "OTR" (Other) designations in the "Investment Discretion" column indicate specific types of authority held over the securities.