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 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS INC /MO/ [ CHTR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/12/2003 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 10/29/2003 | X | 324,335 | A | $30.8323(1) | 22,002,890(3) | D | |||
Class A Common Stock | 11/12/2003 | X | 7,107,750 | A | $30.8817(2) | 29,110,640(4) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Put Options (obligations to buy) | $30.8323(1) | 10/29/2003 | X | 324,335 | (5) | (5) | Class A Common Stock | 324,335 | $0 | 7,144,294 | D | ||||
Put Options (obligations to buy) | $30.8817(2) | 11/12/2003 | X | 7,107,750 | (5) | (5) | Class A Common Stock | 7,107,750 | $0 | 0 | D |
Explanation of Responses: |
1. The exercise price includes interest thereon at a rate of 4.5% per year compounded annually since November 12, 1999 through the closing date of November 12, 2003, on the original purchase price of $25.8548 per share pursuant to the put agreement under which the shares of Class A Common Stock are to be purchased. |
2. The exercise price includes interest thereon at a rate 4.5% per year compounded annually since November 12, 1999 through the estimated closing date of November 25, 2003, on the original purchase price of $25.8548 per share pursuant to the put agreement under which the shares of Class A Common Stock are to be purchased. |
3. Represents post transaction aggregate as of October 29, 2003. |
4. Represents post transaction aggregate as of the reporting date. |
5. The put options are exercisable from November 12, 2001 through the earlier of (i) November 12, 2003, or (ii) the date of certain business combinations affecting the issuer's securities. After the exercise of the put rights set forth herein, the obligation of the reporting person to purchase 36,544 shares of Class A Common Stock pursuant to the put agreement expired. |
Joseph Franzi, by Power of Attorney filed with a previous 13G filing | 12/12/2003 | |
** 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. |