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Carlyle Group Inc. — Director's Dealing 2018
Jan 2, 2018
30240_dirs_2018-01-02_d4d40529-1c83-4f84-882d-6c84a050b5b3.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Carlyle Group L.P. (CG)
CIK: 0001527166
Period of Report: 2018-01-01
Reporting Person: CLARE PETER J (Director, Co-Chief Investment Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Units | 27381 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Carlyle Holdings partnership units | $ | Common Units representing limited partnership interests (4337398) | Direct | ||
| Carlyle Holdings partnership units | $ | Common Units representing limited partnership interests (273632) | Indirect |
Footnotes
F1: Of these 27,381 securities, 18,660 are common units and 8,721 are deferred restricted common units. The 8,721 deferred restricted common units are scheduled to vest on August 1, 2018, provided that Mr. Clare continues to provide services to the issuer.
F2: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings are exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.
F3: Such Carlyle Holdings partnership units are held by a trust for the benefit of the Reporting Person's family. The Reporting Person is the special purpose trustee of the trust and has sole investment power over the units.