The Carlyle Group Inc. (CG) Form 3 Carlyle / Christopher Finn ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Finn Christopher

(Last) (First) (Middle)

1001 PENNSYLVANIA AVENUE, NW

(Street)

WASHINGTON DC 20004

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/19/2019

3. Issuer Name and Ticker or Trading Symbol
Carlyle Group L.P. [ CG ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Operating Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Units	366,106(1)	D
Common Units	313,937	I	See Footnote(2)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Carlyle Holdings partnership units	(3)	(3)	Common Units representing limited partnership interests	194,693	(3)	D
Carlyle Holdings partnership units	(3)	(3)	Common Units representing limited partnership interests	13,595	(3)	I	See Footnote(4)

Explanation of Responses:

1. Of these 366,106 securities, 54,381 are common units and 311,725 are deferred restricted common units. Of the 311,725 deferred restricted common units, 109,220 are scheduled to vest on August 1, 2019, 122,644 are scheduled to vest on August 1, 2020, 56,937 are scheduled to vest on August 1, 2021 and 22,924 are scheduled to vest on August 1, 2022, provided that the reporting person continues to provide services to the issuer.

2. These common units are held in a limited liability company of which the reporting person is the manager.

3. 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.

4. 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.

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.

	/s/ Jeffrey W. Ferguson, by power of attorney for Christopher Finn	03/28/2019
	** Signature of Reporting Person	Date
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