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SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940 		 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Apollo Management Holdings GP, LLC
(Last) (First) (Middle)
9 W. 57TH STREET
43RD FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [ CHTR ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/08/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
08/10/2012 		6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A common stock 08/08/2012 X 19,959(1) A $46.86 31,997,500(1) I See footnote(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
1. Name and Address of Reporting Person*
Apollo Management Holdings GP, LLC
(Last) (First) (Middle)
9 W. 57TH STREET
43RD FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Management Holdings, L.P.
(Last) (First) (Middle)
9 W. 57TH STREET
-
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Principal Holdings I GP, LLC
(Last) (First) (Middle)
TWO MANHATTANVILLE ROAD
SUITE 203
(Street)
PURCHASE NY 10577
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Principal Holdings I, L.P.
(Last) (First) (Middle)
TWO MANHATTANVILLE ROAD
SUITE 203
(Street)
PURCHASE NY 10577
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Value Management, L.P.
(Last) (First) (Middle)
TWO MANHATTANVILLE ROAD
(Street)
PURCHASE NY 10577
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Principal Holdings II GP, LLC
(Last) (First) (Middle)
9 W. 57TH ST.
43RD FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Capital Management GP, LLC
(Last) (First) (Middle)
9 WEST 57TH STREET
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Capital Management, L.P.
(Last) (First) (Middle)
9 WEST 57TH STREET
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Alternative Assets, L.P.
(Last) (First) (Middle)
87 MARY STREET, GEORGE TOWN
(Street)
GRAND CAYMAN E9 KY1-9005
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Apollo Principal Holdings II, L.P.
(Last) (First) (Middle)
9 W. 57TH STREET
43RD FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
Explanation of Responses:
1. This Amendment to the Form 4 initially filed on August 10, 2012 (the "Form 4"), is filed solely for the purpose of correcting the number of shares that were reported as having been acquired upon exercise of the warrants as reported in the Form 4, and to correct the number of securities beneficially owned following the exercise of the warrants, and does not reflect the acquisition or disposition of any securities. The number of shares of Class A common stock acquired upon exercise of the warrants reflects the number of shares issued based on the cashless exercise of the warrants on August 8, 2012.
[see signatures attached as Exhibit 99.1] 08/15/2012
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Exhibit 99.1

 

This Amendment to Statement on Form 4 is filed by: (i) AP Charter Holdings (Sub II), LLC, (ii) Red Bird, L.P., (iii) Blue Bird, L.P., (iv) Green Bird, L.P., (v) AAA Co-Invest VI BC, Ltd., (vi) AAA Co-Invest VII BC, Ltd., (vii) AP Charter Holdings (Sub II MM), LLC; (viii) AP Charter Holdings, L.P., (ix) Apollo Advisors VI, L.P., (x) Apollo Capital Management VI, LLC, (xi) Apollo Advisors VII, L.P., (xii) Apollo Capital Management VII, LLC, (xiii) Apollo Principal Holdings I, L.P., (xiv) Apollo Principal Holdings I GP, LLC, (xv) Red Bird GP, Ltd., (xvi) Blue Bird GP, Ltd., (xvii) Green Bird GP, Ltd., (xviii) AAA Guarantor — Co-Invest VI, L.P., (xix) AAA Guarantor — Co-Invest VII, L.P., (xx) Apollo SVF Management, L.P., (xxi) Apollo SVF Management GP, LLC, (xxii) Apollo Value Management, L.P., (xxiii) Apollo Value Management GP, LLC, (xxiv) Apollo Capital Management, L.P., (xxv) Apollo Capital Management GP, LLC, (xxvi) Apollo SOMA Advisors, L.P., (xxvii) Apollo SOMA Capital Management, LLC, (xxviii) Apollo SVF Advisors, L.P., (xxix) Apollo SVF Capital Management, LLC, (xxx) Apollo Value Advisors, L.P., (xxxi) Apollo Value Capital Management, LLC, (xxxii) Apollo Principal Holdings II, L.P., (xxxiii) Apollo Principal Holdings II GP, LLC, (xxxiv) AAA MIP Limited, (xxxv) Apollo Alternative Assets, L.P., (xxxvi) Apollo International Management, L.P., (xxxvii) Apollo International Management GP, LLC, (xxxviii) Apollo Management Holdings, L.P., and (xxxix) Apollo Management Holdings GP, LLC

 

Name of Designated Filer:  Apollo Management Holdings GP, LLC

Date of Event Requiring Statement:  August 8, 2012

Issuer Name and Ticker or Trading Symbol:  Charter Communications, Inc. [CHTR]

 

 

AP CHARTER HOLDINGS (SUB II), LLC

 

 

 

 

 

 

By:

AP Charter Holdings (Sub II MM), LLC

 

 

its sole member and manager

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

RED BIRD, L.P.

 

 

 

 

 

 

By:

Red Bird GP, Ltd.

 

 

its general partner

 

 

 

 

 

 

 

By:

Apollo SVF Management, L.P.

 

 

 

its director

 

 

 

 

 

 

 

 

By:

Apollo SVF Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

Name:

Laurie D. Medley

 

 

 

 

Title:

Vice President

 


 

 

BLUE BIRD, L.P.

 

 

 

 

 

 

 

 

By:

Blue Bird GP, Ltd.

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

Apollo SVF Management, L.P.

 

 

 

its director

 

 

 

 

 

 

 

 

 

 

By:

Apollo SVF Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

Name:

Laurie D. Medley

 

 

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GREEN BIRD, L.P.

 

 

 

 

 

 

 

 

By:

Green Bird GP, Ltd.

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

Apollo Value Management, LP.

 

 

 

its director

 

 

 

 

 

 

 

 

 

 

By:

Apollo Value Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

By

/s/ Laurie D. Medley

 

 

 

 

Name:

Laurie D. Medley

 

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AAA CO-INVEST VI BC, LTD.

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Director

 

 

 

 

 

 

 

AAA CO-INVEST VII BC, LTD.

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Director

 

 

 

 

 

 

 

AP CHARTER HOLDINGS (SUB II MM), LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 


 

 

AP CHARTER HOLDINGS, L.P.

 

 

 

 

 

 

 

 

By:

Apollo Advisors VI, L.P.

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

Apollo Capital Management VI, LLC,

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name:

Laurie D. Medley

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

APOLLO ADVISORS VI, L.P.

 

 

 

 

 

 

 

 

By:

Apollo Capital Management VI, LLC,

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

APOLLO CAPITAL MANAGEMENT VI, LLC

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

APOLLO ADVISORS VII, L.P.

 

 

 

 

 

 

 

 

By:

Apollo Capital Management VII, LLC,

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

APOLLO CAPITAL MANAGEMENT VII, LLC

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 


 

 

APOLLO PRINCIPAL HOLDINGS I, L.P.

 

 

 

 

 

 

 

 

By:

Apollo Principal Holdings I GP, LLC,

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

APOLLO PRINCIPAL HOLDINGS I GP, LLC

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

RED BIRD GP, LTD.

 

 

 

 

 

 

By:

Apollo SVF Management, L.P.

 

 

its director

 

 

 

 

 

 

 

By:

Apollo SVF Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name:

Laurie D. Medley

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

BLUE BIRD GP, LTD.

 

 

 

 

 

 

By:

Apollo SVF Management, L.P.

 

 

its director

 

 

 

 

 

 

 

By:

Apollo SVF Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name:

Laurie D. Medley

 

 

 

Title:

Vice President

 


 

 

GREEN BIRD GP, LTD.

 

 

 

 

 

 

 

 

By:

Apollo Value Management, L.P.

 

 

its director

 

 

 

 

 

 

 

 

 

By:

Apollo Value Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name:

Laurie D. Medley

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

AAA GUARANTOR — CO-INVEST VI, L.P.

 

 

 

 

 

 

By:

AAA MIP Limited

 

 

its general partner

 

 

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

 

its investment manager

 

 

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

 

its managing general partner

 

 

 

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

 

 

 Laurie D. Medley

 

 

 

 

 

 

 Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AAA GUARANTOR — CO-INVEST VII, L.P.

 

 

 

 

 

 

 

 

 

By:

AAA MIP Limited

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

 

its investment manager

 

 

 

 

 

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

 

its managing general partner

 

 

 

 

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

 

 

Laurie D. Medley

 

 

 

 

 

 

Vice President

 


 

 

APOLLO SVF MANAGEMENT, L.P.

 

 

 

 

 

 

 

 

By:

Apollo SVF Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

APOLLO SVF MANAGEMENT GP, LLC

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

APOLLO VALUE MANAGEMENT, L.P.

 

 

 

By:

Apollo Value Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

APOLLO VALUE MANAGEMENT GP, LLC

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

APOLLO CAPITAL MANAGEMENT, L.P.

 

 

 

 

 

 

 

 

 

By:

Apollo Capital Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

APOLLO CAPITAL MANAGEMENT GP, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 


 

 

APOLLO SOMA ADVISORS, L.P.

 

 

 

 

 

 

 

 

By:

Apollo SOMA Capital Management, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

APOLLO SOMA CAPITAL MANAGEMENT, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

 Vice President

 

 

 

 

 

 

 

APOLLO SVF ADVISORS, L.P.

 

 

 

 

By:

Apollo SVF Capital Management, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

APOLLO SVF CAPITAL MANAGEMENT, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

APOLLO VALUE ADVISORS, L.P.

 

 

 

 

By:

Apollo Value Capital Management, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

APOLLO VALUE CAPITAL MANAGEMENT, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 


 

 

APOLLO PRINCIPAL HOLDINGS II, L.P.

 

 

 

 

 

 

 

 

By:

Apollo Principal Holdings II GP, LLC

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

APOLLO PRINCIPAL HOLDINGS II GP, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

AAA MIP LIMITED

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its investment manager

 

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC,

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

Name:

Laurie D. Medley

 

 

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

 

 

 

 

APOLLO ALTERNATIVE ASSETS, L.P.

 

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

its managing general partner

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name:

Laurie D. Medley

 

 

 

Title:

Vice President

 


 

 

APOLLO INTERNATIONAL MANAGEMENT, L.P.

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

APOLLO INTERNATIONAL MANAGEMENT GP, LLC

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President

 

 

 

 

 

 

 

APOLLO MANAGEMENT HOLDINGS, L.P.

 

 

 

 

 

 

 

By:

Apollo Management Holdings GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name:

Laurie D. Medley

 

 

Title:

Vice President

 

 

 

 

 

 

 

 

 

APOLLO MANAGEMENT HOLDINGS GP, LLC

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name:

Laurie D. Medley

 

Title:

Vice President