SEC Form 4 · accession 0001091667-19-000033
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
Feb 4, 2019
Accepted (ET)
Feb 6, 2019 · 4:27 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 Stock | Feb 4, 2019 | S | 1,012 | $341.8331 | D | 3,059 | D | |
| Class A Common Stock | Feb 4, 2019 | M | 5,652 | $39.13 | A | 8,711 | D | |
| Class A Common Stock | Feb 4, 2019 | S | 5,652 | $343.6963 | D | 3,059 | D | |
| Class A Common Stock | Feb 4, 2019 | M | 7,533 | $60.96 | A | 10,592 | D | |
| Class A Common StockF3 | Feb 4, 2019 | S | 7,533 | $342.9826 | D | 3,059 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4 | $39.13 | Feb 4, 2019 | M | 5,652 | D | — | Jul 27, 2020 | Class A Common Stock | 5,652 | 0 | D |
| Stock OptionsF5 | $60.96 | Feb 4, 2019 | M | 7,533 | D | — | Apr 26, 2021 | Class A Common Stock | 7,533 | 6,030 | D |
Explanation of responses
- F1Exercise of stock options granted 7/27/2010.
- F2Exercise of stock options granted 4/26/2011.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $342.94 to $343.31, 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.
- F4On 7/27/2010, the reporting person was granted 22,605 stock options 25% to vest in four equal installments on each of the first four anniversaries of 7/27/2010. In connection with the closing of the Time Warner Cable Inc. transactions the merger exchange ratio of .9042 was applied to the exercise price and number of stock options.
- F5On 4/26/2011, 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. In connection with the closing of the Time Warner Cable Inc. transactions the merger exchange ratio of .9042 was applied to the exercise price and number of stock options.