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CHTR Charter Communications Inc New

324.95
0.36 (0.11%)
Last Updated: 15:16:28
Delayed by 15 minutes
Share Name Share Symbol Market Type
Charter Communications Inc New NASDAQ:CHTR NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.36 0.11% 324.95 324.94 325.89 328.41 321.06 324.59 268,440 15:16:28

Statement of Changes in Beneficial Ownership (4)

17/01/2019 9:45pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Winfrey Christopher L
2. Issuer Name and Ticker or Trading Symbol

CHARTER COMMUNICATIONS, INC. /MO/ [ CHTR ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

C/O CHARTER COMMUNICATIONS, INC., 400 ATLANTIC STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

10/23/2018
(Street)

STAMFORD, CT 06901
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock   10/24/2018     J    35854   D $0   (1) 14983   D  
 
Class A Common Stock   10/24/2018     J    35854   A $0   (1) 35854   I   By Trust  
Class A Common Stock   12/7/2018     J    34909   D $0   (2) 945   I   By Trust  
Class A Common Stock   12/7/2018     J    34909   A $0   (2) 34909   I   By Trust  
Class A Common Stock   12/7/2018     J    12303   D $0   (3) 2680   D  
 
Class A Common Stock   12/7/2018     J    12303   A $0   (3) 12303   I   By Trust  
Class A Common Stock   12/7/2018     J    22605   D $0   (4) 27126   I   By Atalaya Management, LLC  
Class A Common Stock   12/7/2018     J    22605   A $0   (4) 34908   I   By Trust  
Class A Common Stock   1/15/2019     M    6798   (5) A $292.31   (6) 9478   D  
 
Class A Common Stock   1/15/2019     F    2832   (7) D $292.31   6646   D  
 

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options   $60.96   10/23/2018     J         93434   (5) (8)     (8) 4/26/2021   Class A common stock   93434   (9)   (9) 70075   D  
 
Stock Options   $60.96   10/23/2018     J      93434         (8) 4/26/2021   Class A common stock   93434   (9)   (9) 93434   I   By Trust  
Stock Options   $150.88   10/23/2018     J         14970      (10) 1/15/2024   Class A common stock   14970   (11)   (11) 22006   D  
 
Stock Options   $150.88   10/23/2018     J      14970         (10) 1/15/2024   Class A common stock   14970   (11)   (11) 14970   I   By Trust  
Restricted Stock Units     (6) 1/15/2019     M         6798      (12)   (12) Class A Common Stock   6798   $0   0   D  
 

Explanation of Responses:
(1)  On October 24, 2018, the reporting person transferred 35,854 shares of Charter Class A common stock to the Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001.
(2)  On 12/7/2018, the Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 transferred 34,909 shares of Charter Class A common stock to the Yeniley L Winfrey Irrevocable Trust.
(3)  On 12/7/2018, the reporting person transferred 12,303 shares of Charter Class A common stock to the Winfrey Dynasty Trust.
(4)  On 12/7/2018, Atalaya Management, LLC transferred 22,605 shares of Charter Class A common stock to the Winfrey Dynasty Trust.
(5)  In connection with the closing of the Time Warner Cable Inc. transactions the merger exchange ratio of .9042 was applied to the number of Restricted Stock Units as well as the exercise price of options(divided by .9042) and the number of options (multiplied by .9042).
(6)  Restricted Stock Units convert into common stock on a one-for-one basis.
(7)  Withholding of securities for the purpose of paying taxes.
(8)  Performance-vesting stock options granted on April 26, 2011; 60,277 stock options subject to the attainment of a $60 per share hurdle; 60,278 stock options subject to the attainment of a $80 per share hurdle; and 30,278 stock options subject to the attainment of a $100 per-share hurdle; Vesting schedule as follows: 33% first eligible to vest on January 26, 2012; 33% first eligible to vest on September 30, 2012; and 33% first eligible to vest on September 30, 2013. As the grants vested before the Time Warner Cable Inc. transactions, the number of shares and performance targets in this footnote were not adjusted for purposes of this filing.
(9)  On October 23, 2018, the reporting person transferred 93,434 stock options to the Christopher L. Winfrey 2018 GRAT II.
(10)  Time-vesting stock options granted on January 15, 2014 under the Charter Communications, Inc. 2009 Stock Incentive Plan. The options became exercisable on January 15, 2017.
(11)  On October 23, 2018, the reporting person transferred 14,970 stock options to the Christopher L. Winfrey 2018 GRAT I.
(12)  On 1/15/2016 the reporting person was granted 7,519 Restricted Stock Units to vest on 1/15/2019. In connection with the closing of the Time Warner Cable Inc. transactions the merger exchange ratio of .9042 was applied to the number of unvested Restricted Stock Units.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Winfrey Christopher L
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC STREET
STAMFORD, CT 06901


Chief Financial Officer

Signatures
/s/Daniel J. Bollinger as attorney-in-fact for Christopher L. Winfrey 1/17/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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