SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by The Carlyle Group L.P., an institutional investment manager, for the quarter ended March 31, 2013. The report discloses equity securities held with investment discretion. The filing includes holdings managed by two other affiliated managers: Carlyle Investment Management L.L.C. and CIM Global, L.L.C.
Key Financial Metrics
As this is a holdings disclosure form rather than a financial performance report, the filing does not contain revenue, profit, cash flow, or debt metrics for The Carlyle Group itself. The following metrics relate to the reported portfolio:
- Total Portfolio Value: $12,752,693 (in thousands, approx. $12.75 billion).
- Number of Holdings: 31 distinct entries.
- Largest Holdings by Value:
- Freescale Semiconductor Holdings: $2,920,473,000
- Cobalt International Energy Inc.: $1,407,355,000
- Booz Allen Hamilton Holding Corp.: $1,233,921,000
- Allison Transmission Holdings: $1,809,123,000
Material Changes and Portfolio Composition
The filing lists 31 positions across various sectors including technology, energy, financial services, and industrials. The text does not provide comparative data against the prior quarter (December 31, 2012) to determine material changes in position size or new entries versus exits. Voting authority for the majority of positions is listed as "Shared."
Guidance, Risks, and Contingencies
Management Commentary: The filing includes a standard disclaimer stating that the report does not constitute an admission of beneficial ownership or investment discretion for all listed securities under Sections 13(f), 13(d), 13(g), or 16(a) of the Exchange Act. It notes that the Reporting Manager may be part of a group of affiliated persons exercising discretion.
Risks and Contingencies: No specific risk factors or contingencies regarding the portfolio are disclosed in this form. The filing includes a Power of Attorney exhibit authorizing specific individuals to execute securities filings on behalf of the Carlyle Companies.
Investor Verification Checklist
- Verify the total portfolio value of approximately $12.75 billion against the firm's total Assets Under Management (AUM) to understand the scope of this specific report.
- Confirm the specific investment discretion status for holdings marked as "Shared" to determine the extent of The Carlyle Group's direct control.
- Review the list of 31 holdings to identify concentration risks in specific sectors (e.g., Energy, Technology).
- Note that this filing does not disclose private equity fund performance, debt levels, or operating income for The Carlyle Group.