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 September 30, 2013. The form discloses the investment manager's holdings of equity securities and other reportable assets as of the quarter end.
Key Financial Metrics and Holdings
The filing details a portfolio of 27 distinct positions across various sectors, including technology, energy, financials, and industrials. The total value of the reported holdings is approximately $736.6 million (sum of Column 4 values).
- Largest Position by Value: Freescale Semiconductor Hldg (Old) with a value of $196.1 million (3,265,679 shares).
- Second Largest Position: Booz Allen Hamilton Hldg Cor (Class A) with a value of $91.8 million (1,773,761 shares).
- Third Largest Position: Allison Transmission Hldgs I (Common) with a value of $63.4 million (1,589,329 shares).
- Asset Classes: The portfolio consists primarily of common stock ("SH") and one principal amount ("PRN") holding in YRC Worldwide Inc. Notes.
- Voting Authority: For all listed positions, the manager reported Sole voting authority (Column 7 = 1) and None for shared or none (Columns 8 and 9).
Material Changes and Portfolio Composition
As a quarterly snapshot, this filing does not provide comparative data against the prior period (June 30, 2013) within the text provided. Therefore, specific material changes in position size or new entries versus the prior quarter cannot be determined from this document alone. The portfolio demonstrates a diversified approach with significant exposure to:
- Technology: Freescale Semiconductor, Magnachip Semiconductor.
- Energy: Cobalt Intl Energy, Sandridge Energy, Superior Energy Svcs, Weatherford International.
- Financials: BankUnited, Central Pac Finl Corp, F N B United Corp, Hampton Roads Bankshares.
Guidance, Risks, and Contingencies
This Form 13F is a statutory disclosure of holdings and does not contain management commentary, forward-looking guidance, risk factors, or contingency disclosures. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total portfolio value by summing the "Value" column to confirm the approximate $736.6 million aggregate.
- Confirm the specific share counts for the top three holdings (Freescale, Booz Allen, Allison Transmission) against market prices as of September 30, 2013.
- Note the presence of "DFND" (Deferred) and "OTR" (Other) designations in Column 6, which may indicate specific reporting nuances for certain securities.
- Check for any subsequent filings (e.g., 13F-HR amendments) that might correct or update these positions.
- Review the single debt holding (YRC Worldwide Inc. Note) to understand the fixed-income exposure within this equity-focused report.