SEC Form 4 · accession 0001091667-18-000093
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
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 4:11 pm EDT
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,F2 | Aug 1, 2018 | M | 3,200 | $87.19 | A | 6,127 | D | |
| Class A Common StockF3 | Aug 1, 2018 | F | 1,974 | $304.99 | D | 4,153 | D | |
| Class A Common StockF4,F2 | Aug 1, 2018 | M | 1,889 | $60.96 | A | 6,042 | D | |
| Class A Common StockF5 | Aug 1, 2018 | F | 1,014 | $304.99 | D | 5,028 | D | |
| Class A Common StockF6,F7 | Aug 2, 2018 | S | 2,101 | $296.52 | D | 2,927 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Charter OptionsF1,F2 | $87.19 | Aug 1, 2018 | M | 3,200 | D | Feb 20, 2016 | Feb 20, 2023 | Class A Common Stock | 3,200 | 29,351 | D |
| Charter OptionsF4,F2 | $60.96 | Aug 1, 2018 | M | 1,889 | D | Dec 31, 2016 | Apr 26, 2021 | Class A Common Stock | 1,889 | 0 | D |
Explanation of responses
- F1Pursuant to a 10b5-1 plan, exercise of a portion of vested stock options granted on 2/20/2013 .
- F2In connection with the closing of the Time Warner Cable Inc. transactions the merger exchange ratio of .9042 was applied to the exercise price and performance targets (divided by .9042) and the number of options (multiplied by .9042).
- F3Withholding of securities for the purpose of paying taxes from securities reported in Footnote #1.
- F4Pursuant to a 10b5-1 plan, exercise of a portion of vested stock options granted on 4/26/2011.
- F5Withholdings of securities for the purpose of paying taxes from securities reported in Footnote #4.
- F6Sold pursuant to a 10b5-1 plan.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $295.18 to $296.97, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.