13F-HR/A 1 a13f-hra.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 -------------------- Check here if Amendment [X]; Amendment Number: 1 -------- This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager filing this Report: Name: The Carlyle Group L.P. ------------------------------ Address: 1001 Pennsylvania Avenue, NW ------------------------------ Suite 220 S. ------------------------------ Washington, DC 20004-2505 ------------------------------ ------------------------------ Form 13F File Number: 28- 15025 ------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Daniel A. D'Aniello --------------------- Title: Managing Director --------------------- Phone: 202-729-5626 --------------------- Signature, Place, and Date of Signing: /s/ R. Rainey Hoffman as Attorney- in-Fact for Daniel A. D'Aniello* Washington, DC February 26, 2013 ---------------------------------- ------------------- ------------------- Signature City, State Date *Signed pursuant to a Power Of Attorney dated May 7, 2012, included as an exhibit to this Form 13F-HR filed with the Securities and Exchange Commission by The Carlyle Group L.P. ** The Carlyle Group L.P. (the "Reporting Manager") does not serve as adviser to all of the owners of, or have formal investment discretion with respect to, the securities in the indicated row, but may be deemed to be part of a group of affiliated persons exercising investment discretion with respect to such securities. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that the Reporting Manager or any other manager with respect to the securities listed herein exercises investment discretion or is a member of, or is otherwise affiliated with, such a group with respect to such securities. Reference is made, where relevant, to reports filed under Sections 13(d), 13(g) and 16(a) of the Exchange Act for additional information with respect to such beneficial ownership and/or pecuniary interest of the Reporting Manager, any other manager with which it may share or be deemed to share investment discretion, and related entities. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g) or 16(a) of the Exchange Act, as amended, and the rules thereunder, or for any other purpose, that the Reporting Manager or any other person is the beneficial owner of any securities. [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE Form 13F File Number Name 28- ---------------- -------------------------------- 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 ---------------- Form 13F Information Table Entry Total: 33 ---------------- Form 13F Information Table Value Total: $12,832,981 ---------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-12429 Carlyle Investment Management L.L.C. --------- --------------------- ------------------------------------- 2 28-15024 CIM Global, L.L.C. --------- --------------------- ------------------------------------- Explanatory Note: The Carlyle Group L.P. is managed by its general partner, Carlyle Group Management L.L.C., which is in turn wholly-owned and controlled by Carlyle's senior professionals. 3
FORM 13-F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Allison Transmission Hldgs I Com 01973R101 $1,516,017 75,348,750 SH -- Shared-Defined 1 75,348,750 Atlas Resource Partners LP Com Unt Ltd Pr 04941A101 $196,081 7,683,442 SH -- Shared-Defined 1 7,683,442 BankUnited Inc Com 06652K103 $337,677 13,721,131 SH -- Shared-Defined 1 13,721,131 Booz Allen Hamilton Hldg Cor Cl A 099502106 $1,271,562 91,809,598 SH -- Shared-Defined 1 91,809,598 Boston Private Finl Hldgs In Com 101119105 $74,380 7,756,022 SH -- Shared-Defined 1 7,756,022 Central Pac Finl Corp Com 154760409 $135,322 9,463,095 SH -- Shared-Defined 1 9,463,095 China Recycling Energy Corp Com 168913101 $12,466 12,465,938 SH -- Shared-Defined 1, 2 12,465,938 Cobalt Intl Energy Inc Com 19075F106 $1,402,025 62,955,756 SH -- Shared-Defined 1 62,955,756 Concord Med Svcs Hldgs Ltd Sponsored ADR 206277105 $32,716 8,724,233 SH -- Shared-Defined 1, 2 8,724,233 Enduro Rty Tr Tr Unit 29269K100 $364,716 19,800,000 SH -- Shared-Defined 1 19,800,000 F N B United Corp Com 302519202 $58,572 4,930,313 SH -- Shared-Defined 1 4,930,313 Fairpoint Communications Inc Com 305560302 $259 34,202 SH -- Shared-Defined 1 34,202 Freescale Semiconductor Hldg SHS Old G3727Q101 $1,865,262 196,136,895 SH -- Shared-Other** 1, 2 196,136,895 Hampton Roads Bankshares Inc Com 409321502 $63,598 42,398,583 SH -- Shared-Defined 1 42,398,583 Hertz Global Holdings Inc Com 42805T105 $81,003 5,899,719 SH -- Shared-Defined 1, 2 5,899,719 Hertz Global Holdings Inc Com 42805T105 $664,571 48,402,867 SH -- Shared-Defined 1 48,402,867 Kinder Morgan Inc Del Com 49456B101 $1,374,775 38,704,258 SH -- Shared-Defined 1 38,704,258 Lear Corp Com 521865204 $12,759 337,618 SH -- Shared-Defined 1 337,618 Magnachip Semiconductor Corp Com 55933J203 $4,753 402,761 SH -- Shared-Defined 1 402,761 Nielsen Holdings N V Com N63218106 $255,164 8,511,137 SH -- Shared-Defined 1, 2 8,511,137 Nielsen Holdings N V Com N63218106 $1,162,413 38,772,943 SH -- Shared-Defined 1 38,772,943 Niska Gas Storage Partners L Unit Ltd Liabi 654678101 $213,083 16,992,245 SH -- Shared-Defined 1 16,992,245 RTI Intl Metals Inc Com 74973W107 $48,637 2,031,615 SH -- Shared-Defined 1 2,031,615 Sandridge Energy Inc Com 80007P307 $358,312 51,370,888 SH -- Shared-Defined 1 51,370,888 SS&C Technologies Hldgs Inc Com 78467J100 $541,254 21,469,799 SH -- Shared-Defined 1 21,469,799 Superior Energy Svcs Inc Com 868157108 $18,774 914,934 SH -- Shared-Defined 1 914,934 TRW Automotive Hldgs Corp Com 87264S106 $4,423 101,200 SH -- Shared-Defined 1 101,200 Weatherford International Lt Reg Shs H27013103 $12,680 1,000,000 SH -- Shared-Defined 1 1,000,000 Wesco Aircraft Hldgs Inc Com 950814103 $730,539 53,480,184 SH -- Shared-Defined 1 53,480,184 Willbros Group Inc Com 969203108 $5,371 1,000,141 SH -- Shared-Defined 1 1,000,141 YRC Worldwide Inc Note 10.000% 3/3 984249AB8 $2,996 11,304,367 SH -- Shared-Defined 1 11,304,367 YRC Worldwide Inc Note 10.000% 3/3 984249AC6 $8,359 16,718,923 SH -- Shared-Defined 1 16,718,923 YRC Worldwide Inc Com Par $.01 984249607 $2,462 363,642 SH -- Shared-Defined 1 363,642
LIST OF EXHIBITS EXHIBIT NO. DESCRIPTION ----------- ----------- 99 Power of Attorney