Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-031424
Date:2021-08-02
Issuer: CARLYLE GROUP INC. (CG)
Original Submission Date:

Reporting Person:

LEE KEWSONG
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 2021-08-02 S 16,495 d $48.80 516,355 direct
COMMON STOCK 2021-08-02 0 $0.00 2,283,407 indirect f3
COMMON STOCK 2021-08-02 0 $0.00 283,563 indirect f4
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 these shares of common stock were sold on behalf of the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units, the grant of which was previously reported.
f2 reflects an adjustment to the number of shares directly owned by the reporting person that was inadvertently previously reported on the last form 4 as 538,339 shares rather than 532,850 shares.
f3 such shares of common stock are held in a grantor retained annuity trust.
f4 such shares of common stock are held by a trust for the benefit of the reporting person's family of which the reporting person is the investment adviser and has sole investment power over the securities.

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