SEC FORM 13F-HR
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
Oct 31, 2018 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
09-30-2023 |
| Check here if Amendment |
|
Amendment Number: |
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing this Report: |
| Name: |
Carlyle Group Inc. |
| Address: |
C/O THE CARLYLE GROUP |
|
1001 PENNSYLVANIA AVENUE, N.W. |
|
WASHINGTON,
DC
20004
|
| Form 13F File Number: |
028-15025 |
The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of Reporting Manager: |
| Name: |
Jeffrey W. Ferguson |
| Title: |
General Counsel |
| Phone: |
202-729-5626 |
| Signature, Place, and Date of Signing: |
| /s/ Jeffrey W. Ferguson |
Washington,
DC
|
11-03-2023 |
| [Signature] |
[City, State] |
[Date] |
| Explanatory Note 1: AlpInvest Partners B.V. is an indirectly wholly owned investment adviser of The Carlyle Group Inc. However, The Carlyle Group Inc. does not participate in any investment decision-making of AlpInvest Partners B.V. --
Explanatory Note 2: On August 1, 2022, The Carlyle Group Inc. completed its acquisition of the Abingworth group, a life sciences investment firm. As a result of the acquisition, Abingworth LLP has become a relying advisor of Carlyle Investment Management L.L.C. Abingworth Management Inc. is de-registering as an investment adviser with the United States Securities and Exchange Commission. |
| Report Type (Check only one.): |
| |
13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| |
13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |
| X |
13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) |
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.] |
|
|
Form 13F File Number |
Name |
|
028-15646 |
AlpInvest Partners B.V. |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included Managers: |
3 |
|
|
|
Form 13F Information Table Entry Total: |
26 |
|
Form 13F Information Table Value Total: |
2,305,584,289 |
|
(thousands) |
|
| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
|
No. |
Form 13F File Number |
Name |
|
1 |
028-14285 |
Abingworth LLP |
|
2 |
028-12429 |
Carlyle Investment Management LLC |
|
3 |
028-15024 |
CIM Global, L.L.C. |
SEC FORM 13-F Information Table
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
Oct 31, 2018 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| Adicet Bio Inc |
Com |
007002108 |
2,876,924 |
2,115,385 |
SH |
|
DFND |
1 |
0 |
2,115,385 |
0 |
| Complete Solaria Inc. |
Com |
20460L104 |
5,141,511 |
2,495,879 |
SH |
|
DFND |
2 |
0 |
2,495,879 |
0 |
| CubeSmart |
Com |
229663109 |
8,407,665 |
220,500 |
SH |
|
DFND |
2 |
0 |
220,500 |
0 |
| Effector Therapeutics Inc |
Com |
28202V108 |
2,868,676 |
4,822,114 |
SH |
|
DFND |
1 |
0 |
4,822,114 |
0 |
| Exicure Inc |
Com New |
30205M200 |
199,962 |
281,636 |
SH |
|
DFND |
1 |
0 |
281,636 |
0 |
| GDS Hldgs Ltd |
Sponsored Ads |
36165L108 |
44,595,237 |
4,072,624 |
SH |
|
DFND |
2,3 |
0 |
4,072,624 |
0 |
| Getty Images Holdings Inc |
Cl A Com |
374275105 |
63,097,377 |
9,722,246 |
SH |
|
DFND |
2 |
0 |
9,722,246 |
0 |
| Hillevax Inc |
Com |
43157M102 |
24,690,867 |
1,838,486 |
SH |
|
DFND |
1 |
0 |
1,838,486 |
0 |
| Invitation Homes Inc |
Com |
46187W107 |
15,131,975 |
477,500 |
SH |
|
DFND |
2 |
0 |
477,500 |
0 |
| Jasper Therapeutics Inc |
Com |
471871103 |
6,054,467 |
8,761,891 |
SH |
|
DFND |
1 |
0 |
8,761,891 |
0 |
| Meta Data Limited |
Sponsored Ads |
68276W400 |
325,656 |
314,400 |
SH |
|
DFND |
2,3 |
0 |
314,400 |
0 |
| MKS Instrs Inc |
Com |
55306N104 |
117,346,596 |
1,355,981 |
SH |
|
DFND |
2,3 |
0 |
1,355,981 |
0 |
| MKS Instrs Inc |
Com |
55306N104 |
184,049,032 |
2,126,751 |
SH |
|
DFND |
2 |
0 |
2,126,751 |
0 |
| Molecular Templates Inc |
Com New |
608550208 |
84,265 |
13,333 |
SH |
|
DFND |
1 |
0 |
13,333 |
0 |
| Nucana Plc |
Sponsored Adr |
67022C106 |
1,966,666 |
3,333,333 |
SH |
|
DFND |
1 |
0 |
3,333,333 |
0 |
| Phathom Pharmaceuticals Inc |
Com |
71722W107 |
36,191,963 |
3,496,808 |
SH |
|
DFND |
1 |
0 |
3,496,808 |
0 |
| Quidelortho Corp |
Com |
219798105 |
910,091,766 |
12,460,183 |
SH |
|
DFND |
2 |
0 |
12,460,183 |
0 |
| Reneo Pharmaceuticals Inc |
Com |
75974E103 |
20,539,063 |
2,698,957 |
SH |
|
DFND |
1 |
0 |
2,698,957 |
0 |
| Seacor Marine Hldgs Inc |
Com |
78413P101 |
18,240,596 |
1,314,164 |
SH |
|
DFND |
2 |
0 |
1,314,164 |
0 |
| Smart Sh Global Ltd |
Ads |
83193E102 |
3,634,594 |
4,810,209 |
SH |
|
DFND |
2,3 |
0 |
4,810,209 |
0 |
| Soleno Therapeutics Inc |
Com |
834203309 |
67,430,723 |
2,293,562 |
SH |
|
DFND |
1 |
0 |
2,293,562 |
0 |
| Spruce Biosciences Inc |
Com |
85209E109 |
6,459,235 |
2,896,518 |
SH |
|
DFND |
1 |
0 |
2,896,518 |
0 |
| Vera Therapeutics Inc |
Cl A |
92337R101 |
19,688,342 |
1,438,155 |
SH |
|
DFND |
1 |
0 |
1,438,155 |
0 |
| Verona Pharma Plc |
Sponsored Ads |
925050106 |
40,008,100 |
2,457,500 |
SH |
|
DFND |
1 |
0 |
2,457,500 |
0 |
| Vitru Ltd |
Com |
G9440D103 |
109,875,425 |
6,246,471 |
SH |
|
DFND |
2,3 |
0 |
6,246,471 |
0 |
| ZoomInfo Technologies Inc |
Common Stock |
98980F104 |
596,587,606 |
36,377,293 |
SH |
|
DFND |
2 |
0 |
36,377,293 |
0 |
