Finn Christopher

SEC source: 0000950170-24-064042 · ownership.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,917,572

F1 · acquired: Represents dividend equivalent units accrued on certain existing time-vesting restricted stock unit awards, the grant of which was previously reported, in connection with the issuer's quarterly dividend. Such dividend equivalent units will vest on the same schedule and subject to the same terms and conditions as the underlying awards.

SEC source: 0000950170-24-013000 · ownership.xml · nonDerivative · entry 5

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,914,114

F5 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of performance-based restricted stock unit awards that vested on such date. No shares of common stock were sold by the reporting person.

SEC source: 0000950170-24-013000 · ownership.xml · nonDerivative · entry 4

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,944,101

F4 · kind: These shares of common stock were acquired upon the satisfaction of certain performance-based vesting criteria and settlement of performance-based restricted stock unit awards previously granted to the reporting person.

SEC source: 0000950170-24-013000 · ownership.xml · nonDerivative · entry 3

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,884,164

F3 · kind: These securities are a restricted stock unit award that is eligible to vest in three equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($48.05, $56.06 and $64.06, respectively). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years and three years, respectively. The period for measuring the achievement of the stock price hurdles ends on February 6, 2027 and any restricted stock units that have not vested as of February 7, 2027 will be forfeited.

SEC source: 0000950170-24-013000 · ownership.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,383,161

F2 · kind: These securities are restricted stock unit awards and will vest 1/3 on each of February 6, 2025, February 6, 2026 and February 6, 2027, subject to the reporting person's continued service at the company on the applicable vesting date.

SEC source: 0000950170-24-013000 · ownership.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,374,206

F1 · kind: These securities are restricted stock unit awards and will vest 40% on August 1, 2025, an additional 30% on August 1, 2026 and the remaining 30% on August 1, 2027, subject to the reporting person's continued service at the company on the applicable vesting date.

SEC source: 0000950170-24-011520 · ownership.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 944,406

F1 · kind: Represents shares of common stock that have been withheld by the Issuer in connection with the payment of taxes resulting from the vesting of previously reported restricted stock unit awards. No shares of common stock were sold by the reporting person.

SEC source: 0000950170-23-038188 · ownership.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 955,587

F1 · acquired: These shares of common stock were sold on behalf of the reporting person solely to satisfy tax withholding obligations arising from the vesting of restricted stock units pursuant to pre-arranged trading arrangements entered into by the reporting person during an open trading window.

SEC source: 0000899243-23-004468 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,654

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.

SEC source: 0000899243-23-004468 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,410

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.

SEC source: 0000899243-23-003907 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 960,825

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 restricted stock units, the grant of which was previously reported.

SEC source: 0000899243-23-003907 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 971,921

F1 · acquired: These securities are restricted stock unit awards and will vest 40% on August 1, 2024, an additional 30% on August 1, 2025 and the remaining 30% on August 1, 2026, subject to the reporting person's continued service at the company on the applicable vesting date.

SEC source: 0000899243-22-027429 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831,950

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.

SEC source: 0000899243-22-005676 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 866,004

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.

SEC source: 0000899243-22-005676 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,901

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.

SEC source: 0000899243-22-004646 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 787,822

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 restricted stock units, the grant of which was previously reported.

SEC source: 0000899243-22-004646 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 798,778

F1 · acquired: These securities are restricted stock unit awards and will vest 40% on August 1, 2023, an additional 30% on August 1, 2024 and the remaining 30% on August 1, 2025, subject to the reporting person's continued service at the company on the applicable vesting date.

SEC source: 0000899243-21-043051 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 253,937

F1 · kind: Reflects a charitable gift by a limited liability company of which the reporting person is the manager.

F2 · ownership.nature: These shares of common stock are held in a limited liability company of which the reporting person is the manager.

SEC source: 0000899243-21-031426 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,907

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.

SEC source: 0000899243-21-005767 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808,180

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.

SEC source: 0000899243-21-005767 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 843,752

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.

SEC source: 0000899243-21-004874 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,188

F2 · acquired: 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.

SEC source: 0000899243-21-004874 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 654,183

F1 · acquired: 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.

SEC source: 0000899243-20-021471 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588,244

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.

SEC source: 0000899243-20-004403 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,977

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.

SEC source: 0000899243-20-004403 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,571

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.

SEC source: 0000899243-20-002980 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569,741

F1 · acquired: These securities are restricted stock unit awards. These securities will vest 40% on August 1, 2021, an additional 30% on August 1, 2022 and the remaining 30% on August 1, 2023, subject to the reporting person's continued service at the company on the applicable vesting date.

SEC source: 0000899243-20-000284 · doc4.xml · derivative · entry 4

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Units Representing limited partnership interests · 13,595 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

F1 · kind: 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. (the "Common Stock").

F2 · kind: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

F1 · price: 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. (the "Common Stock").

F2 · price: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

F4 · derivative.exercise_date: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

F4 · derivative.expiration_date: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

F3 · ownership.nature: These securities are held in a limited liability company of which the reporting person is the manager.

SEC source: 0000899243-20-000284 · doc4.xml · derivative · entry 3

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Units Representing limited partnership interests · 194,693 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

F1 · kind: 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. (the "Common Stock").

F2 · kind: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

F1 · price: 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. (the "Common Stock").

F2 · price: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

F4 · derivative.exercise_date: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

F4 · derivative.expiration_date: Pursuant to the terms of the exchange agreement and subject to certain requirements and restrictions, the partnership units of Carlyle Holdings were exchangeable for common units of The Carlyle Group L.P. on a one-for-one basis.

SEC source: 0000899243-20-000284 · doc4.xml · nonDerivative · entry 2

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 327,532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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. (the "Common Stock").

F1 · kind: 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. (the "Common Stock").

F2 · kind: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

F3 · ownership.nature: These securities are held in a limited liability company of which the reporting person is the manager.

SEC source: 0000899243-20-000284 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,661

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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. (the "Common Stock").

F1 · kind: 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. (the "Common Stock").

F2 · kind: Pursuant to the terms of the Conversion, partnership units of Carlyle Holdings were exchanged for shares of Common Stock on a one-for-one basis.

SEC source: 0000899243-19-021054 · doc4.xml · nonDerivative · entry 1

Finn Christopher · CIK 0001771467 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,968

F1 · acquired: These common units were sold on behalf of the reporting person to cover tax withholding obligations in connection with the vesting of deferred restricted common units, the grant of which was previously reported.