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, 2016. The document discloses the investment manager's holdings in equity securities as of the quarter-end date.
Key Financial Metrics and Holdings
The filing details a portfolio of 20 distinct equity positions. The total value of the reported holdings is approximately $253.6 million (sum of Column 4 values). The portfolio is diversified across various sectors including energy, technology, financials, and industrials.
| Issuer | Value ($) | Shares | Voting Authority |
|---|---|---|---|
| Xenith Bankshares, Inc | 42,398,583 | 97,941 | Sole |
| Cobalt Intl Energy Inc | 34,822,878 | 43,180 | Sole |
| USA Compression Partners LP | 23,717,985 | 445,424 | Sole |
| Wesco Aircraft Hldgs Inc | 23,330,184 | 313,324 | Sole |
| Multi Packaging Solutions In | 21,163,072 | 304,960 | Sole |
| Talen Energy Corp | 19,515,173 | 270,285 | Sole |
| Pattern Energy Group Inc | 16,962,546 | 381,488 | Sole |
| Booz Allen Hamilton Hldg Cor | 15,989,419 | 505,426 | Sole |
| CommScope Hldg Co Inc (Total) | 19,716,970 | 593,678 | Sole / Shared |
| Enviva Partners LP | 13,252,299 | 357,680 | Sole |
| Fang Hldgs Ltd | 12,307,691 | 55,262 | Sole / Shared |
| Enduro Rty Tr | 8,600,000 | 30,444 | Sole |
| The Bank of NT Butterfield & Son Ltd | 7,632,569 | 188,982 | Sole |
| Sequential Brnds Group Inc | 6,369,812 | 50,958 | Sole |
| CommunityOne Bancorp | 5,772,376 | 79,890 | Sole |
| Concord Med Svcs Hldgs Ltd | 4,362,117 | 17,361 | Sole / Shared |
| Superior Energy Svcs Inc | 914,934 | 16,377 | Sole |
| Weatherford Intl Plc | 1,000,000 | 5,620 | Sole |
Note: CommScope Hldg Co Inc appears in two separate rows with different voting authority designations (Sole and Shared).
Material Changes and Outlook
The filing text does not provide comparative data against the prior period (June 30, 2016), nor does it contain management commentary, guidance, risk factors, or liquidity metrics. Form 13F filings are strictly disclosure documents for holdings and do not include financial performance analysis or forward-looking statements.
Investor Verification Checklist
- Portfolio Concentration: Verify if the top 5 holdings (Xenith Bankshares, Cobalt Intl Energy, USA Compression, Wesco Aircraft, Multi Packaging) represent a significant portion of the manager's total AUM or if this is a specific fund's portfolio.
- Voting Rights: Confirm the implications of "Shared" voting authority for positions in CommScope, Concord Med Svcs, and Fang Hldgs, as this may indicate co-investment or specific fund structures.
- Energy Sector Exposure: Note the significant exposure to energy-related entities (Cobalt Intl Energy, Talen Energy, Pattern Energy, USA Compression, Superior Energy, Weatherford) and assess sector-specific risks.
- Private vs. Public: Ensure these are all publicly traded securities as required by Form 13F; the filing does not list private equity holdings.