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's SEC filings reveal the operational and financial dynamics of one of the world's largest alternative asset managers. Unlike traditional corporations, Carlyle's 10-Q quarterly reports and 10-K annual filings detail unique metrics including assets under management by segment, fee-related earnings versus performance-based earnings, unrealized carried interest, and the composition of its investment portfolio across private equity, credit, and real assets. These disclosures help investors understand how the business generates revenue from both management fees and performance-based compensation tied to investment gains.
Carlyle's 13F-HR filings provide quarterly snapshots of the firm's publicly traded equity holdings, offering visibility into which stocks the firm's liquid credit and public equity strategies are accumulating or reducing. While private equity represents Carlyle's core business, these public holdings disclosures reveal how the firm's registered investment companies and credit vehicles position themselves in public markets. Our AI summaries highlight significant portfolio changes and concentration shifts across sectors.
Form 4 filings track insider transactions by Carlyle's executives and board members, showing when leadership buys or sells CG units. These transactions can signal confidence in the firm's growth prospects or simply reflect portfolio rebalancing and compensation-related activity. Monitoring insider trading patterns provides context on management's perspective, particularly around earnings releases or major strategic announcements.
The firm's 8-K filings disclose material events including significant fund closings, major acquisitions or dispositions, changes in governance structure, or developments affecting the partnership's traded units. For a firm operating across dozens of investment funds with varying life cycles, these event-driven disclosures help investors track meaningful changes in Carlyle's investment activities and corporate structure. Form DEF 14A proxy statements reveal executive compensation structures, governance arrangements, and proposals requiring unitholder votes, offering transparency into how performance-based pay aligns management incentives with investment returns.
Insider receipt of dividend-equivalent units tied to existing restricted stock awards. Carlyle Group COO Lindsay LoBue was granted 496 dividend equivalent units on 08/28/2025 related to previously reported time-vesting restricted stock unit awards; these units were recorded at a $0 cash price and will vest on the same schedule and terms as the underlying RSUs. After this accrual, Ms. LoBue is reported as beneficially owning 476,225 shares of Carlyle Group Inc. common stock, held directly. The Form 4 was submitted by a power of attorney on 08/29/2025.
Carlyle Group insider filing: Charles E. Andrews Jr., Chief Accounting Officer, reported an acquisition on 08/28/2025 of 177 shares of Common Stock at $0 as dividend equivalent units tied to previously granted time-vesting restricted stock units. Following this accrual, Mr. Andrews beneficially owns 130,954 shares. The filing states the dividend equivalent units will vest on the same schedule and terms as the underlying awards. The Form 4 was submitted by one reporting person and signed under power of attorney on 08/29/2025.
John C. Redett, Chief Financial Officer of The Carlyle Group Inc. (CG), received 2,992 common stock units as dividend equivalents tied to previously granted time-vesting restricted stock units. The transaction is reported as an acquisition on 08/28/2025 at a $0 price, reflecting accrual of dividend equivalent units in connection with the issuer's quarterly dividend.
Following the award, Mr. Redett beneficially owns 1,096,386 shares. The dividend equivalent units will vest on the same schedule and under the same terms as the underlying restricted stock unit awards. The Form 4 was signed by an attorney-in-fact on behalf of Mr. Redett on 08/29/2025.
Harvey M. Schwartz, who serves as both a director and the Chief Executive Officer of The Carlyle Group Inc. (CG), reported an acquisition of 22,884 common shares on 08/28/2025. The filing shows these shares were granted at a $0 price and represent dividend equivalent units accrued on previously granted time-based and performance-based restricted stock units from the February 15, 2023 awards; they will vest according to the underlying awards' schedules and terms. Following this transaction, Mr. Schwartz beneficially owns 6,211,773 shares. The Form 4 was signed via power of attorney by Anne K. Frederick on 08/29/2025.
Jeffrey W. Ferguson, General Counsel of The Carlyle Group Inc. (CG), reported multiple sales of common stock on 08/11/2025 and 08/12/2025. The Form 4 shows dispositions of 97,394; 14,587; 159,536; and 28,483 shares, reported at weighted-average prices of $62.37, $63.44, $64.20 and $64.82 respectively, with footnotes listing the per-transaction price ranges for each group.
The filing records direct beneficial ownership of 753,255 shares following these transactions. Table II for derivatives contains no entries. The Form 4 was signed by Anne K. Frederick by power of attorney on 08/13/2025.
William E. Conway Jr., a director of Carlyle Group Inc. (CG), reported a charitable donation of 1,000,000 common shares on 08/13/2025 via a Form 4 filing. The transaction is coded as a gift and recorded at a price of $0, reflecting a donation rather than a sale. After the reported gift, Mr. Conway is shown as the direct beneficial owner of 28,999,644 shares.
The Form 4 was filed by one reporting person and includes an explanatory remark stating the transfer "reflects a charitable donation by the Reporting Person." The filing shows the transaction was executed under a gift code and was signed by a power of attorney on behalf of Mr. Conway.
Capital World Investors (CWI) is reported as the beneficial owner of 20,054,252 shares of The Carlyle Group, equal to 5.6% of about 361,135,881 shares outstanding. CWI discloses sole voting power over 19,958,480 shares and sole dispositive power over 20,054,252 shares, with no shared voting or dispositive power. The filing states these securities are held in the ordinary course of business and were not acquired to change or influence control of the issuer. This Schedule 13G is a passive institutional ownership disclosure required once ownership exceeds 5%.
The Carlyle Group Inc. (symbol CG) filed a Form 144 reporting a proposed sale of 202,606 common shares through Morgan Stanley Smith Barney LLC, with an aggregate market value of $13,013,565.73. The shares are listed on NASDAQ and the sale is indicated for 08/12/2025.
The filing lists the lots to be sold as acquired primarily via restricted stock vesting (2015–2024) and founder stock (01/02/2020). The form also shows a related seller, JEFFREY WILLIAM FERGUSON REV TRUST, sold 97,394 shares on 08/11/2025 for $6,074,882.57. Several administrative fields (for example filer CIK and notice date) are not provided in the form content.
The Carlyle Group Inc. (CG) filed a Form 144 notifying a proposed sale of 97,394 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $6,074,882.57. The shares arise from issuer grants and vesting for services (performance stock units and restricted stock) dated 08/01/2025, 02/06/2025, 02/01/2025 and 08/01/2024, and those grant totals equal the amount the filer proposes to sell. The filing reports 361,704,907 shares outstanding, so the proposed sale represents approximately 0.027% of the outstanding common stock. The sale is expected to occur on or about 08/11/2025 on NASDAQ. The filer states no securities were sold in the past three months and attests to lacking any undisclosed material adverse information.
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