SEC Form 4 · accession 0001091667-19-000008
CHARTER COMMUNICATIONS, INC. /MO/ · CHTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin D Howard
Officer — SVP/CAO/Controller
Period of report
Jan 15, 2019
Accepted (ET)
Jan 16, 2019 · 6:10 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 | Jan 15, 2019 | M | 1,732 | $292.31 | A | 4,614 | D | |
| Class A Common StockF2 | Jan 15, 2019 | F | 543 | $292.31 | D | 4,071 | 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 | — | Jan 15, 2019 | M | 1,732 | D | — | — | Class A Common Stock | 1,732 | 0 | D |
| Stock OptionsF4 | $292.31 | Jan 15, 2019 | A | 7,467 | A | Jan 15, 2022 | Jan 15, 2029 | Class A Common Stock | 7,467 | 7,467 | D |
| Restricted Stock UnitsF5,F6,F7 | — | Jan 15, 2019 | A | 706 | A | Jan 15, 2022 | — | Class A Common Stock | 706 | 706 | 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 1/15/2016 the reporting person was granted 1,916 Restricted Stock Units to vest on 1/15/2019. 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.
- F4Stock 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 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.
- F5Restricted Stock Unit grant - price not applicable.
- F6Restricted 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.
- F7Not applicable