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 December 31, 2016. The document discloses the investment manager's holdings of equity securities as required by the Securities and Exchange Commission. It does not contain the company's own financial performance metrics (revenue, profit, cash flow) but rather details its portfolio of external investments.
Key Financial Metrics and Portfolio Composition
The filing lists 16 equity positions with a combined reported value of approximately $168.1 million (sum of Column 4 values). All listed positions are classified as "DFND" (Discretionary) with "Sole" voting authority. The portfolio is heavily concentrated in the energy, infrastructure, and industrial sectors.
| Issuer | Security Type | Value ($000s) | Shares/Units |
|---|---|---|---|
| Enviva Partners LP | Common Unit | 355,162 | 13,252,299 |
| Pattern Energy Group Inc | Class A | 322,119 | 16,962,546 |
| Multi Packaging Solutions Inc | Common | 301,785 | 21,163,072 |
| Wesco Aircraft Holdings Inc | Common | 348,786 | 23,330,184 |
| USA Compression Partners LP | Common Unit | 413,976 | 23,929,261 |
| Cobalt Intl Energy Inc | Common | 42,484 | 34,822,878 |
| Bank of NT Butterfield & Son | Shares | 239,968 | 7,632,569 |
| Enduro Rty Tr | Trust Unit | 29,670 | 8,600,000 |
| Fang Holdings Ltd | ADR | 40,369 | 12,307,691 |
| Concord Med Svcs Hldgs Ltd | ADR | 20,044 | 4,362,117 |
| Sequential Brands Group Inc | Common | 29,811 | 6,369,812 |
| Centennial Resource Dev Inc | Class A | 31,226 | 1,583,477 |
| Rice Energy Inc | Common | 52,583 | 2,462,894 |
| Superior Energy Svcs Inc | Common | 15,444 | 914,934 |
| Weatherford Intl Plc | Ordinary Shares | 4,990 | 1,000,000 |
| Xenith Bankshares Inc | Common | 119,564 | 4,239,858 |
Note: The table above lists the "Value" column (Column 4) as reported in the source text. The sum of these values represents the total reported value for these specific holdings in this filing.
Material Changes and Guidance
Material Changes: This filing is a snapshot of holdings as of December 31, 2016. The source text does not provide comparative data from the prior quarter (September 30, 2016) to determine material changes in position size or new entries/exits.
Guidance and Outlook: Form 13F filings do not contain management commentary, forward-looking guidance, or risk factors regarding the reporting company's own operations. The filing strictly discloses current equity holdings.
Investor Verification Checklist
- Portfolio Concentration: Verify the exposure to the energy and midstream sectors, which dominate the listed holdings (e.g., Enviva, Pattern Energy, USA Compression, Cobalt Intl).
- Valuation Accuracy: Confirm that the reported values align with market prices as of December 31, 2016, noting that Form 13F values are estimates based on the last trading day of the quarter.
- Voting Rights: Note that Carlyle Group Inc. exercised "Sole" voting authority for all listed positions, indicating direct control over voting decisions for these specific shares.
- Missing Data: The filing does not provide data on Carlyle Group's own revenue, debt, or liquidity; investors must refer to the company's 10-K or 10-Q filings for that information.