SC 13D/A 1 d78702dsc13da.htm SC 13D/A SC 13D/A





Washington, D.C. 20549




Under the Securities Exchange Act of 1934

(Amendment No. 6)*



The Carlyle Group Inc.

(Name of Issuer)

Common Stock, par value $0.01

(Title of Class of Securities)


(CUSIP Number)

Jeffrey W. Ferguson

General Counsel

The Carlyle Group

1001 Pennsylvania Avenue, NW

Suite 220 South

Washington, D.C. 20004

(202) 729-5626

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

March 11, 2021

(Date of Event Which Requires Filing of this Statement)



If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box.  ☐



Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.





The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).




CUSIP No. 14316J108    13D    Page 2 of 4 pages



  Names of Reporting Persons


  Carlyle Group Management L.L.C.


  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐



  SEC Use Only



  Source of Funds (See Instructions)




  Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)




  Citizenship or Place of Organization













  Sole Voting Power




  Shared Voting Power




  Sole Dispositive Power




  Shared Dispositive Power




  Aggregate Amount Beneficially Owned by Each Reporting Person




  Check if the Aggregate Amount in Row (11) Excludes Certain Shares




  Percent of Class Represented by Amount in Row (11)




  Type of Reporting Person


  OO (Limited Liability Company)

CUSIP No. 14316J108    13D    Page 3 of 4 pages


This Amendment No. 6 to Schedule 13D (“Amendment No. 6”) amends and supplements the Schedule 13D originally filed with the United States Securities and Exchange Commission (“SEC”) on January 10, 2020 and amended on February 25, 2020, May 11, 2020, July 6, 2020, November 17, 2020 and January 8, 2021 (as amended to date, the “Schedule 13D”), relating to the common stock, par value $0.01 per share (the “Common Stock”), of The Carlyle Group Inc., a Delaware corporation (the “Issuer”). Capitalized terms used herein without definition shall have the meaning set forth in the Schedule 13D.

The Reporting Person may be deemed to be the beneficial owner of shares of Common Stock underlying Proxies that it holds. The Reporting Person has become aware that on March 11, 2021, an employee of the Issuer sold 3,000,000 shares of Common Stock that previously were subject to the Proxies. Therefore, the Reporting Person is filing this Amendment No. 6. The number of shares reported as beneficially owned by the Reporting Person herein reflects changes to the number of shares of Common Stock underlying the Proxies held by the Reporting Person.

Item 5. Interest in Securities of the Issuer.

Items 5(a)-(b) of the Schedule 13D are hereby amended and restated in their entirety as follows:

(a) – (b)

The following sets forth, as of March 11, 2021, the aggregate number of shares of Common Stock and percentage of shares of Common Stock beneficially owned by the Reporting Person, as well as the number of shares of Common Stock as to which the Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition of, as of March 11, 2021, based on 354,626,175 shares of Common Stock outstanding as of March 11, 2021.


Reporting Person

of class
    Sole power to
vote or to
direct the vote
power to
vote or to
direct the vote
     Sole power
to dispose or
to direct the
power to
dispose or
to direct the

Carlyle Group Management L.L.C.

     198,993,953        56.1     198,993,953        0        17,000        0  

The Reporting Person directly holds 17,000 shares of Common Stock, and may be deemed to have sole voting power over 198,993,953 shares of Common Stock (including the shares underlying the Proxies).


After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.


Date: March 19, 2021     CARLYLE GROUP MANAGEMENT L.L.C.
    By:   /s/ Jeffrey W. Ferguson
    Name:   Jeffrey W. Ferguson
    Title:   General Counsel