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, 2015. The document discloses the investment manager's holdings in equity securities as of the quarter-end date. It does not contain financial performance data for Carlyle Group Inc. itself, but rather a list of securities held by the firm.
Key Financial Metrics and Holdings
The filing details a portfolio of 28 distinct equity positions. The total value of reported holdings is not explicitly summed in the text, but individual position values are provided in thousands of dollars. Key holdings by reported value include:
- Freescale Semiconductor Ltd: $196,980,050 (7,205,530 shares)
- Axalta Coating Sys Ltd: $69,811,996 (Combined value of two positions: 53,560,977 and 16,251,019)
- Booz Allen Hamilton Hldg Cor: $40,942,896 (1,073,113 shares)
- CommScope Hldg Co Inc: $61,216,970 (Combined value of two positions: 42,086,667 and 19,130,303)
- Sandridge Energy Inc: $51,370,888 (13,870 shares)
- Alcoa Inc: $561,966 (5,429 shares)
Revenue, Profit, Cash Flow, Margins, Debt, and Liquidity: The filing text does not provide a clear value for these metrics as Form 13F is a disclosure of holdings, not a financial statement of the reporting company's operations.
Material Changes and Voting Authority
The filing indicates the type of voting authority held for each position:
- Sole Discretion: The majority of positions (e.g., Alcoa, Atlas Resource Partners, Booz Allen Hamilton) are held with sole voting discretion.
- Shared Discretion: Several positions, including Axalta Coating Systems, China Recycling Energy Corp, and Freescale Semiconductor, are held with shared voting discretion.
- None: No positions are listed with "None" for voting authority in the provided text.
Material changes versus the prior period cannot be determined as this document only provides a snapshot of holdings as of September 30, 2015, without comparative data from the previous quarter.
Guidance, Outlook, and Risks
The filing text does not provide guidance, outlook, management commentary, risks, contingencies, or unusual items. It is a statutory disclosure of securities held.
Important Facts for Investor Verification
- Verify the total aggregate value of the portfolio by summing the "Value" column, as the total is not explicitly stated in the text.
- Confirm the distinction between "Sole" and "Shared" voting authority for positions like Axalta Coating Systems and Freescale Semiconductor to understand control dynamics.
- Note that the filing lists "Freescale Semiconductor Ltd" with a significant holding ($196.9M); verify if this aligns with known acquisition activity (e.g., NXP acquisition) occurring around this period.
- Check for any subsequent filings to determine if these positions were liquidated or adjusted in the following quarter.