Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-20-012101
Date:2020-05-01
Issuer: CARLYLE GROUP INC. (CG)
Original Submission Date:

Reporting Person:

SHAW WILLIAM JOSEPH
C/O THE CARLYLE GROUP INC.
1001 PENNSYLVANIA AVENUE NW WASHINGTON, DC 20004

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-01 A 5,411 a $0.00 47,945 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 on january 1, 2020, the carlyle group l.p., a delaware limited partnership, converted into a delaware corporation named the carlyle group inc. as a result of such conversion, each common unit of limited partner interest of the carlyle group l.p. converted into a share of common stock of the carlyle group inc.
f2 these securities are restricted stock unit awards granted under the carlyle group inc. 2012 amended & restated equity incentive plan. these securities will vest on may 1, 2021, subject to mr. shaw's continued service on the board of directors of the carlyle group inc. on such vesting date.
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