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  4. [Form 4] Carlyle Group Inc. Insider Trading Activity

Carlyle Group (CG) director Derica Rice granted new RSU awards

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Rice Derica W reported acquisition or exercise transactions in this Form 4 filing.

Carlyle Group Inc. director Derica W. Rice reported stock-based compensation awards rather than open-market trades. On May 1, 2026, he received two grants of common stock under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan.

One award covers 2,933 shares at a reference price of $49.44 per share, which vested immediately based on his election to receive vested restricted stock units instead of his annual cash retainer, with delivery of shares deferred to a future date. The second award covers 4,450 restricted stock units that will vest on May 1, 2027, subject to his continued service on the board, with delivery of shares also deferred.

Following these transactions, Rice directly holds 36,657 shares of Carlyle Group common stock, and an additional 4,193 shares are held indirectly by his spouse.

Positive

  • None.

Negative

  • None.
Insider Rice Derica W
Role null
Type Security Shares Price Value
Grant/Award Common Stock 4,450 $0.00 --
Grant/Award Common Stock 2,933 $49.44 $145K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 33,724 shares (Direct, null); Common Stock — 4,193 shares (Indirect, See Footnote)
Footnotes (1)
  1. These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities will vest on May 1, 2027, subject to the reporting person's continued service on the Issuer's Board of Directors on such vesting date, and receipt of such shares shall be deferred to a future date pursuant to a deferral election made by the reporting person. These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities vested upon grant pursuant to an election made by the reporting person to receive vested restricted stock units in lieu of the reporting person's annual cash retainer for service on the Issuer's Board of Directors, and receipt of such shares shall be deferred to a future date pursuant to a deferral election made by the reporting person. These shares of common stock are held by the reporting person's spouse.
RSU grant (immediate vesting) 2,933 shares at $49.44 Vested RSUs in lieu of annual cash retainer on May 1, 2026
RSU grant (deferred vesting) 4,450 restricted stock units Scheduled to vest May 1, 2027, subject to continued board service
Direct holdings after transactions 36,657 shares Carlyle Group common stock directly held by Derica W. Rice
Indirect holdings via spouse 4,193 shares Carlyle Group common stock held by the reporting person’s spouse
RSU grant price reference $49.44 per share Reference price for 2,933-share RSU award that vested upon grant
restricted stock unit financial
"These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan."
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Amended & Restated 2012 Equity Incentive Plan financial
"These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan."
deferral election financial
"receipt of such shares shall be deferred to a future date pursuant to a deferral election made by the reporting person."
annual cash retainer financial
"in lieu of the reporting person's annual cash retainer for service on the Issuer's Board of Directors"
continued service financial
"will vest on May 1, 2027, subject to the reporting person's continued service on the Issuer's Board of Directors"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Rice Derica W
(Last)(First)(Middle)
C/O THE CARLYLE GROUP INC.
1001 PENNSYLVANIA AVENUE NW
(Street)
WASHINGTON DISTRICT OF COLUMBIA 20004
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Carlyle Group Inc. [ CG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/01/2026A(1)4,450A$033,724D
Common Stock05/01/2026A(2)2,933A$49.4436,657D
Common Stock4,193ISee Footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities will vest on May 1, 2027, subject to the reporting person's continued service on the Issuer's Board of Directors on such vesting date, and receipt of such shares shall be deferred to a future date pursuant to a deferral election made by the reporting person.
2. These securities are a restricted stock unit award granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities vested upon grant pursuant to an election made by the reporting person to receive vested restricted stock units in lieu of the reporting person's annual cash retainer for service on the Issuer's Board of Directors, and receipt of such shares shall be deferred to a future date pursuant to a deferral election made by the reporting person.
3. These shares of common stock are held by the reporting person's spouse.
Remarks:
Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the reporting person herein states that this filing shall not be deemed to be an admission that such reporting person is the beneficial owner of any of these interests, and disclaims beneficial ownership of such interests, except to the extent of such reporting person's pecuniary interest in such interests.
/s/ Anne K. Frederick, by Power of Attorney for Derica W. Rice05/01/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Carlyle Group (CG) director Derica W. Rice report on this Form 4?

Derica W. Rice reported stock-based compensation awards, not open-market trades. He received two grants of Carlyle Group common stock as restricted stock unit awards under the company’s Amended & Restated 2012 Equity Incentive Plan.

How many Carlyle Group shares did Derica W. Rice acquire in the reported grants?

He acquired 2,933 shares and 4,450 restricted stock units. The 2,933 shares relate to vested RSUs in lieu of cash retainer, while 4,450 RSUs are scheduled to vest later, increasing his equity-based compensation exposure to Carlyle Group.

When do Derica W. Rice’s new Carlyle Group restricted stock units vest?

One award of 4,450 restricted stock units will vest on May 1, 2027, if he continues serving on Carlyle Group’s board. Another award of 2,933 restricted stock units vested immediately upon grant according to his prior compensation election.

Did Derica W. Rice buy or sell Carlyle Group (CG) shares on the market?

The filing shows no open-market purchases or sales. Instead, it reflects equity compensation grants and restricted stock units awarded under Carlyle Group’s equity incentive plan, with delivery of the underlying shares deferred to a future date.

What are Derica W. Rice’s Carlyle Group share holdings after these transactions?

After the reported awards, he directly holds 36,657 Carlyle Group common shares. Separately, 4,193 additional shares are held indirectly by his spouse, as disclosed in the filing’s footnote describing this indirect ownership.

Why was one Carlyle Group RSU award granted in lieu of cash to Derica W. Rice?

Rice elected to receive vested restricted stock units instead of his annual cash retainer for board service. This election converted cash compensation into stock-based compensation, aligning a portion of his pay more directly with Carlyle Group’s share performance.