Welcome to our dedicated page for The Carlyle Group SEC filings (Ticker: CG), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Carlyle Group Inc. filings document the regulatory record of a publicly traded global investment firm with common stock and listed debt securities. Form 8-K reports cover operating results, earnings presentations, Regulation FD updates, growth objectives, material agreements, direct financial obligations, and capital-structure matters.
Proxy materials describe shareholder voting, board governance, executive compensation, equity awards, and related governance disclosures. Debt-related filings record senior notes, indentures, subsidiary guarantors, and registered securities, while material-event reports document liquidity, capital resources, dividend-policy context, financial condition, and segment-level performance across Global Private Equity, Global Credit, and Carlyle AlpInvest.
The Carlyle Group Inc. held its 2026 Annual Meeting of Shareholders on June 3, 2026, where investors elected thirteen directors for one-year terms and approved an amended and restated 2012 Equity Incentive Plan previously cleared by the Board.
Director nominees generally received over 288 million votes in favor, with Harvey M. Schwartz receiving 299,883,948 votes for and 2,435,697 withheld. Shareholders ratified Ernst & Young LLP as independent registered public accounting firm for 2026 with 325,337,355 votes for and 7,384,983 against.
The amended and restated equity incentive plan was approved with 252,707,398 votes for and 49,426,621 against. A non-binding say-on-pay resolution on named executive officer compensation also passed, receiving 246,902,606 votes for and 54,984,239 against, with 432,800 abstentions.
The Carlyle Group Inc. appointed Kate Heinzelman as General Counsel, effective June 29, 2026, succeeding longtime General Counsel Jeffrey W. Ferguson, who will become a Senior Advisor. Heinzelman will report directly to CEO Harvey Schwartz and lead Carlyle’s global legal and compliance organization.
She previously served as General Counsel of the Central Intelligence Agency and held senior roles at the Department of Justice, the Department of Health & Human Services, the White House Counsel’s Office and in private practice. Carlyle highlights that it managed $475 billion of assets under management as of March 31, 2026, with more than 2,500 employees across 28 offices.
Carlyle Group Inc. Chief Operating Officer Lindsay LoBue reported an acquisition of 3,120 shares of Common Stock through a compensation-related award. According to the disclosure, these shares represent dividend equivalent units accrued on existing restricted stock unit awards in connection with the company’s quarterly dividend.
The dividend equivalent units will vest on the same schedule and under the same terms and conditions as the underlying restricted stock unit awards. Following this award, LoBue’s directly held Common Stock position reported in this filing increased to 716,205 shares, reflecting a routine adjustment tied to prior equity grants.
Jenkins Mark David reported acquisition or exercise transactions in this Form 4 filing.
Carlyle Group Inc. Co-President Mark David Jenkins received an award of 7,634 shares of common stock on account of dividend equivalent units tied to previously granted restricted stock units. No cash was paid for these shares, as the award reflects the company’s quarterly dividend. Following this grant, Jenkins directly holds 1,534,007 shares of Carlyle common stock. The new units will vest on the same schedule and under the same conditions as the underlying restricted stock unit awards, making this a routine, compensation-related equity accrual rather than an open-market purchase.
Carlyle Group Inc. Chief Financial Officer Justin Plouffe reported a compensation-related share award. He acquired 4,077 shares of common stock at $0.00 per share as dividend equivalent units tied to previously granted restricted stock unit awards and the company’s quarterly dividend. Following this grant, he directly holds 911,225 common shares.
Carlyle Group Inc. reported that Chief Accounting Officer Charles Elliott Andrews Jr. acquired 409 shares of common stock at no cost as a grant or award. These represent dividend equivalent units accrued on previously granted time-vesting restricted stock units in connection with the company’s quarterly dividend. Following this compensation-related award, his directly held common stock position increased to 147,728 shares.
Carlyle Group Inc. Co-President Jeffrey Nedelman reported an acquisition of 7,733 shares of Common Stock with a zero per-share price. The filing describes these as dividend equivalent units credited on existing restricted stock unit awards in connection with the company’s quarterly dividend.
These dividend equivalent units will vest on the same schedule and under the same terms and conditions as the underlying restricted stock unit awards. Following this credit, Nedelman directly holds a total of 1,645,945 shares of Carlyle Group Inc. common stock.
Carlyle Group Inc. Co-President John C. Redett reported an acquisition of 10,830 shares of Common Stock through a compensation-related grant. The award represents dividend equivalent units accrued on existing restricted stock unit awards in connection with Carlyle’s quarterly dividend, at a price of $0.00 per share.
These dividend equivalent units will vest on the same schedule and under the same terms and conditions as the underlying restricted stock unit awards. Following this transaction, Redett directly holds a total of 1,868,256 shares of Carlyle Group Inc. common stock.
Carlyle Group Inc. reported that General Counsel Jeffrey W. Ferguson acquired 1,274 shares of common stock at $0.00 per share. These represent dividend equivalent units credited on existing time-vesting restricted stock unit awards tied to the company’s quarterly dividend. After this award, he holds 783,474 shares directly.
Carlyle Group Inc. reported that Chief Executive Officer Harvey M. Schwartz acquired 20,743 shares of common stock at a price of $0.00 per share. These were issued as dividend equivalent units tied to previously granted time-based and performance-based restricted stock units in connection with the company’s quarterly dividend. Following this routine compensation-related acquisition, Schwartz directly holds 5,254,122 shares of Carlyle Group common stock.