Statement of Changes in Beneficial Ownership (4)
March 04 2020 - 5:16PM
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
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Liberty Broadband Corp |
2. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/
[
CHTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
12300 LIBERTY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/2/2020 |
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(Street)
ENGLEWOOD, CO 80112
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 430 | A | $411.94 | 25646427 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 341 | A | $413.42 | 25646768 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 16 | A | $419.59 | 25646784 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 3 | A | $419.35 | 25646787 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 211 | A | $419.32 | 25646998 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 136 | A | $419.19 | 25647134 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 73 | A | $418.55 | 25647207 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 12 | A | $418.99 | 25647219 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 102 | A | $419.18 | 25647321 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 222 | A | $419.33 | 25647543 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 40 | A | $419.92 | 25647583 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 3 | A | $420.40 | 25647586 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 3241 | A | $420.76 | 25650827 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 112 | A | $421.41 | 25650939 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 16 | A | $421.98 | 25650955 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 28 | A | $423.03 | 25650983 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 77 | A | $426.48 | 25651060 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 430 | A | $432.06 | 25651490 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 544 | A | $434.75 | 25652034 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 1991 | A | $437.57 | 25654025 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 496 | A | $441.57 | 25654521 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 157 | A | $444.02 | 25654678 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 328 | A | $446.28 | 25655006 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 347 | A | $448.27 | 25655353 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 48 | A | $450.63 | 25655401 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 134 | A | $453.55 | 25655535 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 449 | A | $455.67 | 25655984 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 824 | A | $457.36 | 25656808 | D | |
| Class A Common Stock, par value $.001 per share | 3/2/2020 | | A | | 215 | A | $459.59 | 25657023 | D | |
| Class A Common Stock, par value $.001 per share | | | | | | | | 28440924 | I | Held through wholly-owned subsidiaries |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
| Explanation of Responses: |
Remarks:
Pursuant to the terms of the Second Amended and Restated Stockholders Agreement, dated May 23, 2015, as amended, among the Issuer, the entity formerly known as Charter Communications, Inc., Advance/Newhouse Partnership and the reporting person (the "Stockholders Agreement"), on March 2, 2020, the reporting person acquired shares of the Issuer's Class A common stock pursuant to the exercise of its preemptive rights. The number of shares subject to the preemptive rights and the purchase prices thereof were determined pursuant to the terms of the Stockholders Agreement. This Form 4 is the second of three Forms 4 filed on March 4, 2020 to report acquisitions of shares of the Issuer's Class A common stock on March 2, 2020, pursuant to the exercise of the reporting person's preemptive rights under the Stockholders Agreement. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Liberty Broadband Corp
12300 LIBERTY BOULEVARD
ENGLEWOOD, CO 80112 | X | X |
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Signatures
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| Liberty Broadband Corporation By: /s/ Craig Troyer, Senior Vice President and Assistant Secretary | | 3/4/2020 |
| **Signature of Reporting Person | Date |
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