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Carlyle Group Inc. – ‘8-K’ for 3/3/21

On:  Thursday, 3/4/21, at 7:01am ET   ·   For:  3/3/21   ·   Accession #:  1527166-21-16   ·   File #:  1-35538

Previous ‘8-K’:  ‘8-K’ on / for 2/23/21   ·   Latest ‘8-K’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size

 3/04/21  Carlyle Group Inc.                8-K:5,7,9   3/03/21   13:192K

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     34K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     10K 
 9: R1          Cover                                               HTML     46K 
11: XML         IDEA XML File -- Filing Summary                      XML     12K 
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10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- cg-20210303_cal                 XML      7K 
 5: EX-101.DEF  XBRL Definitions -- cg-20210303_def                  XML      9K 
 6: EX-101.LAB  XBRL Labels -- cg-20210303_lab                       XML     68K 
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12: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    17K 
13: ZIP         XBRL Zipped Folder -- 0001527166-21-000016-xbrl      Zip     15K 

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:  C: 
 i false i 000152716600015271662021-03-032021-03-03

Washington, DC 20549
FORM  i 8-K
Pursuant to Section 13 OR 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):  i March 3, 2021
The  i Carlyle Group Inc.
(Exact name of registrant as specified in its charter)
 i Delaware  i 001-35538  i 45-2832612
(State or Other Jurisdiction
of Incorporation)
File Number)
 (IRS Employer
Identification No.)
 i 1001 Pennsylvania Avenue, NW
 i Washington, i DC  i 20004-2505
(Address of Principal Executive Offices) (Zip Code)
( i 202)  i 729-5626
(Registrant’s Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 i Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading Symbol(s)Name of each exchange on which registered
 i Common Stock i CG i The Nasdaq Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
    Emerging growth company  i 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

Item 5.02
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On March 4, 2021, The Carlyle Group Inc. (the “Company”) issued a press release announcing that effective March 8, 2021, Derica Rice will join the Board of Directors of the Company as a Class II director. The appointment was approved by the Company's Board of Directors on March 3, 2021.
Mr. Rice, age 56, served as executive vice president of CVS Health and President of CVS Caremark, the pharmacy benefits management business of CVS Health, from March 2018 to February 2020. Previously, he held various executive positions at Eli Lilly and Company, most recently executive vice president of Global Services and chief financial officer from 2006 to 2017. Mr. Rice is currently a director of Bristol-Meyers Squibb Company, Target Corporation and The Walt Disney Company. Mr. Rice received his Bachelor of Science degree in Electrical and Electronics Engineering from Kettering University and an MBA from Indiana University.
No action has been taken at this time with respect to Mr. Rice’s committee appointments.
Mr. Rice will receive the annual compensation we provide to non-employee directors as described in the "Director Compensation" section of the Company's Annual Report on Form 10-K for the year ended December 21, 2019, filed with the Securities and Exchange Commission on February 12, 2020.
Item 7.01
Regulation FD Disclosure.
A copy of the Company's press release regarding the matters described above has been furnished as Exhibit 99.1 to this Current Report on Form 8-K.
Pursuant to General Instruction B.2 of Current Report on Form 8-K, the information in Item 7.01 of this Current Report on Form 8-K, including the press release attached hereto as Exhibit 99.1, shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section. Furthermore, such information shall not be incorporated by reference into any filing or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing or document.
Item 9.01
Financial Statements and Exhibits
(d) Exhibits
Exhibit No.Description
104Cover Page Interactive Data File (embedded within the Inline XBRL document).

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 The Carlyle Group Inc.
Date: March 4, 2021  By: /s/ Curtis L. Buser
  Name: Curtis L. Buser
  Title: Chief Financial Officer

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:3/4/21
For Period end:3/3/21
2/12/2010-K,  4,  S-3ASR,  S-8
 List all Filings 
Filing Submission 0001527166-21-000016   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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