Initial Statement of Beneficial Ownership (3)
May 06 2020 - 4:36PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0104
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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
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DiGeronimo Richard J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/28/2020
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3. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [CHTR]
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(Last)
(First)
(Middle)
C/O CHARTER COMMUNICATIONS, INC., 400 ATLANTIC AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Product and Tech Officer / |
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(Street)
STAMFORD, CT 06901
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Class A Common Stock | 4135 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Options | 1/16/2021 | 1/16/2028 | Class A Common Stock | 23620.0 (1) | $353.2046 | D | |
| Restricted Stock Units | 1/16/2021 | (2) | Class A Common Stock | 708.0 (3) | (2) | D | |
| Stock Options | 1/15/2022 | 1/15/2029 | Class A Common Stock | 27151.0 (4) | $292.31 | D | |
| Restricted Stock Units | 1/15/2022 | (2) | Class A Common Stock | 855.0 (5) | (2) | D | |
| Stock Options | 8/15/2022 | 8/15/2029 | Class A Common Stock | 6760.0 (6) | $378.67 | D | |
| Restricted Stock Units | 8/15/2022 | (2) | Class A Common Stock | 198.0 (7) | (2) | D | |
| Stock Options | 1/15/2023 | 1/15/2030 | Class A Common Stock | 24781.0 (8) | $512.0575 | D | |
| Restricted Stock Units | 1/15/2023 | (2) | Class A Common Stock | 781.0 (9) | (2) | D | |
| Explanation of Responses: |
| (1) | Stock Options granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 16, 2021. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (2) | Restricted Stock Unit grant - price and expiration date not applicable. |
| (3) | Restricted Stock Units granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2021. |
| (4) | Stock Options granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (5) | Restricted Stock Units granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2022. |
| (6) | Stock Options granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, August 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (7) | Restricted Stock Units granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, August 15, 2022. |
| (8) | Stock Options granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2023. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (9) | Restricted Stock Units granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
DiGeronimo Richard J
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC AVENUE
STAMFORD, CT 06901 |
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| Chief Product and Tech Officer |
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Signatures
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| /s/Richard J. DiGeronimo | | 5/5/2020 |
| **Signature of Reporting Person | Date |
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