TCW GROUP INC

Q3 2020 13F Holdings Report, Stock Holdings

Signature - Title
Andrew Bowden - Executive Vice President & General Counsel
Location
Los Angeles, CA
Holdings as of
September 30, 2020
Value $
$9.17B
Num holdings
317
Date filed
10/30/2020, 10:57 AM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Previous filing
Q2 2020 - Aug 5, 2020
Next filing
Q4 2020 - Feb 2, 2021
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2020 Q3 compared to 2020 Q2 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Meredith Jackson Executive Vice President and General Counsel Los Angeles, California 10/30/2020

This 13F Report is being filed by The TCW Group, Inc. ("TCW") on behalf of itself and its direct and indirect subsidiaries, which collectively constitute the TCW business unit (the "TCW Business Unit"). Investment funds affiliated with The Carlyle Group, L.P. ("The Carlyle Group") own an indirect minority controlling interest in TCW. The TCW Business Unit is managed separately and operated independently. TCW is the parent holding company of a number of operating subsidiaries some of which are or may be "institutional investment managers" for purposes of the reporting requirements under Section 13(f) of the Securities Exchange Act of 1934 (the "Act") and the rules promulgated thereunder. TCW itself does not in fact exercise, and therefore disclaims, investment discretion with respect to any Section 13(f) securities positions over which its operating subsidiaries in fact exercise investment discretion. To the extent, however, that TCW's ownership interest in such operating units may nevertheless give rise to a Form 13(f) filing obligation on behalf of TCW, the information required by Form 13(f) is reported herein on behalf of certain of TCW's operating units, some of which are themselves institutional investment managers subject to Section 13(f) of the Act. In that regard, the Section 13(f) securities positions of TCW Asset Management Company LLC, Metropolitan West Asset Management, LLC, TCW Investment Management Company LLC, Sepulveda Management LLC and TCW Special Situations, LLC are included in this Form 13F report. ALPS Advisors, Inc., Cornerstone Advisors, Inc., GuideStone Capital Management, LLC, and SEI Investments Management Corporation are advisers to certain accounts sub-advised by TCW Investment Management Company LLC and Metropolitan West Asset Management, LLC, and securities held in those accounts are included herein.

Other Included Managers (10):

Num Name Location File Number
1 TCW INVESTMENT MANAGEMENT Co LLC Los Angeles, CA 028-06683
2 TCW ASSET MANAGEMENT CO LLC Los Angeles, CA 028-00787
3 ALPS ADVISORS INC Denver, CO 028-12230
4 Metropolitan West Asset Management, LLC Los Angeles, CA 028-13907
5 SEI INVESTMENTS MANAGEMENT CORP Oaks, PA 028-16475
6 Carlyle Group Inc. Washington, DC 028-15025
7 Sepulveda Management LLC Los Angeles, CA 028-17676
8 Cornerstone Advisors, Inc. 028-14575
9 TCW SPECIAL SITUATIONS, LLC 028-19563
10 GuideStone Capital Management, LLC Dallas, TX 028-10998