Statement of Changes in Beneficial Ownership (4)
July 17 2020 - 4:32PM
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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3235-0287
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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
*
Howard Kevin D |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP/CAO/Controller |
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(Last)
(First)
(Middle)
C/O CHARTER COMMUNICATIONS, INC., 400 ATLANTIC STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2020 |
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(Street)
STAMFORD, CT 06901
(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 | 7/15/2020 | | M | | 8374 (1) | A | $150.88 | 12081 | D | |
| Class A Common Stock | 7/15/2020 | | F | | 5009 (2) | D | $550.04 | 7072 | D | |
| Class A Common Stock | 7/15/2020 | | M | | 6030 (3) | A | $60.96 | 13102 | D | |
| Class A Common Stock | 7/15/2020 | | F | | 3060 (2) | D | $550.04 | 10042 | D | |
| Class A Common Stock | 7/15/2020 | | M | | 7711 (4) | A | $175.76 | 17753 | D | |
| Class A Common Stock | 7/15/2020 | | F | | 4805 (2) | D | $550.04 | 12948 | D | |
| Class A Common Stock | 7/15/2020 | | S | | 9241 (5) | D | $550.0268 (6) | 3707 | 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. 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 | $150.88 | 7/15/2020 | | M | | | 8374 (5) | 1/15/2017 | 1/15/2024 | Class A Common Stock | 8374.0 | $150.88 | 0 | D | |
| Stock Options | $60.96 | 7/15/2020 | | M | | | 6030 (5) | (3) | 4/26/2021 | Class A Common Stock | 6030.0 | $60.96 | 0 | D | |
| Stock Options | $175.76 | 7/15/2020 | | M | | | 7711 (5) | 1/15/2018 | 1/15/2025 | Class A Common Stock | 7711.0 | $175.76 | 0 | D | |
| Explanation of Responses: |
| (1) | Stock Options granted on January 15, 2014 under the Charter Communications, Inc. 2009 Stock Incentive Plan. The options became fully exercisable on January 15, 2017. |
| (2) | Withholding of securities for the purpose of paying the exercise price and paying taxes. |
| (3) | Stock Options granted on 4/26/2011 under the Charter Communications, Inc. 2009 Stock Incentive Plan. The reporting person was granted 18,084 stock options 25% to vest in four equal installments on each of the first four anniversaries of 4/26/2011. |
| (4) | Stock Options granted on January 15, 2015 under the Charter Communications, Inc. 2009 Stock Incentive Plan. The options became fully exercisable on January 15, 2018. |
| (5) | Executed pursuant to a 10b5-1 plan. |
| (6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $549.67 to $550.2150, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Howard Kevin D
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC STREET
STAMFORD, CT 06901 |
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| EVP/CAO/Controller |
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Signatures
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| /s/Kevin D. Howard | | 7/16/2020 |
| **Signature of Reporting Person | Date |
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