Sec Form 4 Filing - Finn Christopher @ Carlyle Group Inc. - 2021-02-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Finn Christopher
2. Issuer Name and Ticker or Trading Symbol
Carlyle Group Inc. [ CG]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Operating Officer
(Last) (First) (Middle)
1001 PENNSYLVANIA AVENUE, NW
3. Date of Earliest Transaction (MM/DD/YY)
02/01/2021
(Street)
WASHINGTON, DC20004
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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)
Code V Amount (A) or (D) Price
Common Stock 02/01/2021 A 65,939 A ( 1 ) $ 0 654,183 D
Common Stock 02/02/2021 A 116,005 A ( 2 ) $ 0 770,188 D
Common Stock 313,937 I See Footnote ( 3 )
Common Stock 13,595 I See Footnote ( 4 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Finn Christopher
1001 PENNSYLVANIA AVENUE, NW
WASHINGTON, DC20004
Chief Operating Officer
Signatures
/s/ Jeffrey W. Ferguson by power of attorney for Christopher Finn 02/03/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These securities are restricted stock unit awards and will vest 40% on August 1, 2022, an additional 30% on August 1, 2023 and the remaining 30% on August 1, 2024, subject to the reporting person's continued service at the company on the applicable vesting date.
( 2 )These securities are restricted stock unit awards and will vest 20% on each of February 1, 2022, 2023 and 2024 and the remaining 40% on February 1, 2025, subject to the reporting person's continued service at the company on the applicable vesting date.
( 3 )These shares of common stock are held in a limited liability company of which the reporting person is the manager.
( 4 )These 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 special purpose trustee and has sole investment power over the shares.

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.

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).

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