Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARCH CAPITAL GROUP LTD.ACGL · Entity 3120 | Director | May 04, 2017 | May 05, 2017 |
| Carlyle Group Inc.CG · Entity 3316 | Director · Chief Executive Officer | May 01, 2022 | May 02, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARCH CAPITAL GROUP LTD.
Report date May 04, 2017 · Filed May 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, $.0033 par value per shareSEC Table I · non-derivative | Direct | 246,404 |
Ending reported balance
After 2017-05-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-05-04 · Grant · Acquired 1,286 · Balance 245,633 F1: Represents shares granted as part of the director-elected annual retainer for serving as a director of the Issuer. Row 2 · 2017-05-04 · Grant · Acquired 771 · Balance 246,404 F2: Subject to the terms of the restricted share agreement, represents restricted shares that will vest on May 1, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares granted as part of the director-elected annual retainer for serving as a director of the Issuer.
F2: Subject to the terms of the restricted share agreement, represents restricted shares that will vest on May 1, 2018.
Carlyle Group Inc.
Report date May 01, 2022 · Filed May 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,198,726 |
Reported balance
After 2022-05-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-05-01 · Grant · Acquired 9,695 · Balance 2,198,726 F1: These securities are restricted stock unit awards granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities will vest on November 1, 2022, subject to the reporting person's continued service to The Carlyle Group Inc. or its affiliates on such vesting date. F2: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,417,674 |
Reported balance
Holding disclosure · report date 2022-05-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,417,674 F2: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. F3: Such shares of common stock are held in a grantor retained annuity trust. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 283,563 |
Reported balance
Holding disclosure · report date 2022-05-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 283,563 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are restricted stock unit awards granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities will vest on November 1, 2022, subject to the reporting person's continued service to The Carlyle Group Inc. or its affiliates on such vesting date.
F2: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 01, 2022 Filed May 2, 2022 18:09 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 9,695 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-016148 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,198,726 F1 · acquired: These securities are restricted stock unit awards granted under The Carlyle Group Inc. Amended & Restated 2012 Equity Incentive Plan. These securities will vest on November 1, 2022, subject to the reporting person's continued service to The Carlyle Group Inc. or its affiliates on such vesting date. F2 · balance_after: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 10, 2022 Filed Feb 10, 2022 20:50 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 605,528 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-005692 · doc4.xml · nonDerivative · entry 3 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,323,298 F3 · acquired: These securities are restricted stock unit awards that will be eligible to vest in February 2027 based on the reporting person's continued service at the company through the vesting date and the attainment of specified stock price target conditions, where such restricted stock units will be eligible to vest at the 20%, 40%, 60%, 80% or 100% level based on the attainment of 20-consecutive trading day average closing stock prices equal to or in excess of $59.21, $69.08, $78.94, $88.81 and $98.68, respectively. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 20:50 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 359,317 | $48.90 | $17,570,601.30 |
DisclosureSEC source: 0000899243-22-005692 · doc4.xml · nonDerivative · entry 2 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 717,770 F2 · acquired: These shares of common stock were sold on behalf of the reporting person to cover tax withholding obligations in connection with the vesting of the performance awards described herein. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 20:50 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 685,608 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-005692 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,077,087 F1 · acquired: These shares of common stock were acquired upon the settlement of performance-based restricted stock unit awards previously granted to the reporting person. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 17:54 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 124,876 | $52.25 | $6,524,771.00 |
DisclosureSEC source: 0000899243-22-004653 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,479 F1 · acquired: 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. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 21:11 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 16,495 | $48.80 | $804,956.00 |
DisclosureSEC source: 0000899243-21-031424 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516,355 F1 · acquired: 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 · balance_after: 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. Read SEC document |
| May 03, 2021 Filed May 3, 2021 21:32 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 2,639 | $43.49 | $114,770.11 |
DisclosureSEC source: 0000899243-21-017950 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 538,339 F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.4900 to $43.5121 per share, inclusive. The reporting person undertakes to provide to The Carlyle Group Inc., any security holder of The Carlyle Group Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock sold at each separate price within the range set forth in this footnote. F1 · acquired: 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. F3 · balance_after: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 03, 2021 Filed May 3, 2021 21:32 UTC | Carlyle Group Inc. CG · Entity 3316 | GiftCommon Stock | 283,563 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017950 · doc4.xml · nonDerivative · entry 3 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 283,563 F4 · acquired: Reflects a transfer made between a grantor retained annuity trust and a trust for the benefit of the reporting person's family. F6 · ownership.nature: 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. Read SEC document |
| March 03, 2021 Filed May 3, 2021 21:32 UTC | Carlyle Group Inc. CG · Entity 3316 | GiftCommon Stock | 283,563 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017950 · doc4.xml · nonDerivative · entry 2 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,283,407 F4 · acquired: Reflects a transfer made between a grantor retained annuity trust and a trust for the benefit of the reporting person's family. F3 · balance_after: Reflects transfers made between the reporting person and grantor retained annuity trusts. Such transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. F5 · ownership.nature: Such shares of common stock are held in a grantor retained annuity trust. Read SEC document |
| February 09, 2021 Filed Feb 10, 2021 19:34 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 140,701 | $36.60 | $5,149,656.60 |
DisclosureSEC source: 0000899243-21-005764 · doc4.xml · nonDerivative · entry 2 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,818,896 F2 · acquired: These shares of common stock were sold on behalf of the reporting person to cover tax withholding obligations in connection with the vesting of the performance award described herein. Read SEC document |
| February 09, 2021 Filed Feb 10, 2021 19:34 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 287,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-005764 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,959,597 F1 · acquired: These shares of common stock were acquired upon the settlement of a performance-based restricted stock unit award previously granted to the reporting person. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 21:19 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 123,532 | $32.06 | $3,960,435.92 |
DisclosureSEC source: 0000899243-21-004865 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,672,597 F1 · acquired: 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 · balance_after: Reflects a transfer made between a grantor retained annuity trust and the reporting person. Such transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 01, 2020 Filed Nov 2, 2020 21:54 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 5,489 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-030146 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,583,878 F1 · shares: These securities are restricted stock unit awards. These securities will vest 100% on May 1, 2021, subject to the reporting person's continued service at the company on the vesting date. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 16:47 UTC | Carlyle Group Inc. CG · Entity 3316 | SaleCommon Stock | 73,365 | $27.80 | $2,039,547.00 |
DisclosureSEC source: 0000899243-20-021474 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,578,389 F1 · acquired: 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. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:45 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-004424 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,651,754 F1 · security: On January 1, 2020, The Carlyle Group L.P., a Delaware limited partnership, converted into a Delaware corporation named The Carlyle Group Inc. (the "Conversion"). As a result of such conversion, each common unit of limited partner interest of The Carlyle Group L.P. converted into a share of common stock of The Carlyle Group Inc. F2 · acquired: These shares of common stock were acquired upon the settlement of a performance-based restricted stock unit award previously granted to the reporting person. F3 · balance_after: Reflects a transfer made between a grantor retained annuity trust and the reporting person. Such transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 18:17 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Units | 4,137 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-026693 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,204,330 F1 · shares: These securities are deferred restricted common unit awards. These securities will vest 100% on May 1, 2020, subject to the reporting person's continued service at the company on the vesting date. F2 · balance_after: Reflects an adjustment to the number of units directly owned by the reporting person that was inadvertently previously reported on the last Form 4 as 2,220,193 units rather than 2,200,193 units. Read SEC document |
| February 13, 2019 Filed Feb 14, 2019 20:30 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Units | 473,334 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-003766 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,220,193 F1 · acquired: These common units were acquired upon the settlement of a performance-based deferred restricted common unit award previously granted to the reporting person. F2 · balance_after: Reflects common units contributed by the reporting person to a grantor retained annuity trust which was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 19:28 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Units | 5,803 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002951 · doc4.xml · nonDerivative · entry 3 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,370,097 F3 · acquired: These securities are deferred restricted common unit awards. These securities will vest 100% on August 1, 2019, subject to the reporting person's continued service at the company on the vesting date. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 19:28 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Units | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002951 · doc4.xml · nonDerivative · entry 2 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,364,294 F2 · acquired: These securities are deferred restricted common unit awards. These securities will vest 40% on August 1, 2019, an additional 30% on August 1, 2020 and the remaining 30% on August 1, 2021, subject to the reporting person's continued service at the company on the applicable vesting date. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 19:28 UTC | Carlyle Group Inc. CG · Entity 3316 | GrantCommon Units | 1,250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002951 · doc4.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,264,294 F1 · acquired: These securities are deferred restricted common unit awards. These securities will vest 20% on February 1, 2019, an additional 20% on February 1, 2020, an additional 20% on February 1, 2021, an additional 20% on February 1, 2022 and the remaining 20% on February 1, 2023, subject to the terms and conditions set forth in such award agreement. Read SEC document |
| May 04, 2017 Filed May 5, 2017 20:47 UTC | ARCH CAPITAL GROUP LTD. ACGL · Entity 3120 | GrantCommon Shares, $.0033 par value per share | 771 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-006675 · edgar.xml · nonDerivative · entry 2 LEE KEWSONG · CIK 0001220640 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,404 F2 · price: Subject to the terms of the restricted share agreement, represents restricted shares that will vest on May 1, 2018. Read SEC document |
| May 04, 2017 Filed May 5, 2017 20:47 UTC | ARCH CAPITAL GROUP LTD. ACGL · Entity 3120 | GrantCommon Shares, $.0033 par value per share | 1,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-006675 · edgar.xml · nonDerivative · entry 1 LEE KEWSONG · CIK 0001220640 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,633 F1 · price: Represents shares granted as part of the director-elected annual retainer for serving as a director of the Issuer. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.