SEC Form 4 · accession 0001091667-17-000005
CHARTER COMMUNICATIONS, INC. /MO/ · CHTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard R Dykhouse
Officer — EVP/Gen Counsel/Corp Secretary
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001091667
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Dec 30, 2016 | M | 867 | $289.02 | A | 3,885 | D | |
| Class A Common StockF2 | Dec 30, 2016 | F | 425 | $289.02 | D | 3,460 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Dec 30, 2016 | M | 867 | D | — | — | Class A Common Stock | 867 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Withholding of securities for the purpose of paying taxes from securities reported in Footnote #1.
- F3On 4/26/2011 the reporting person was granted 11,500 Restricted Stock Units with one-third to vest in four equal installments of each of the first four anniversatires of 4/26/2011; one-third to vest in four equal annual installments on each of the first four anniversaries of the vesting commencement date of 12/31/2011; and one-third to vest in four equal annual installments on each of the first four anniversaries of the vesting commencement date of 12/31/2012. 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.