SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/22/2011
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3. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/
[ CHTR ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Class A Common Stock (the "Common Stock") |
3,403,023
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I
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See Footnote (1) and (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O CRESTVIEW, L.L.C. |
667 MADISON AVENUE |
(Street)
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Explanation of Responses: |
Remarks: |
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CRESTVIEW, L.L.C., for itself and as direct or indirect managing member or general partner of each other Reporting Person (see Exhibit 99.1), By: /s/ Evelyn Pellicone, Title: Chief Financial Officer |
03/31/2011 |
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** 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
5
(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. |
Unassociated Document
Exhibit 99.1
Joint Filer Information
Due to the electronic system’s limitation of 10 Reporting Persons per joint filing, this statement is being filed in two forms.
Footnote 1 to Form 3: Encore, LLC and Encore II, LLC directly beneficially own 3,403,023 shares of Common Stock and 7,800,932 shares of Common Stock, respectively. Each of Crestview, L.L.C., Crestview Partners GP, L.P., Crestview Partners, L.P., Crestview Partners (PF), L.P., Crestview Holdings (TE), L.P., Encore (ERISA), Ltd., Crestview Partners, (ERISA) L.P. and Crestview Offshore Holdings (Cayman), L.P. may be deemed to have beneficial ownership of the 3,403,023 shares of Common Stock directly owned by Encore, LLC. Each of Crestview, L.L.C., Crestview Partners II GP, L.P., Crestview Partners II, L.P., Crestview Partners II (FF), L.P., Crestview Partners II (PF), L.P., Crestview Partners II (TE), L.P., Crestview Offshore Holdings II (Cayman), L.P., Crestview Offshore Holdings II (FF Cayman), L.P. and Crestview Offshore Holdings II (892 Cayman), L.P. may be deemed to have beneficial ownership of the 7,800,932 shares of Common Stock directly owned by Encore II, LLC. Each reporting person disclaims beneficial ownership of the reported securities except and to the extent of its pecuniary interest therein.
Footnote 2 to Form 3: Crestview Partners, L.P., Crestview Partners (PF), L.P., Crestview Holdings (TE), L.P., Encore (ERISA), Ltd. and Crestview Offshore Holdings (Cayman), L.P. are the members of Encore, LLC. Crestview Partners, (ERISA) L.P. is the sole shareholder of Encore (ERISA), Ltd. Crestview Partners GP, L.P. is the general partner of Crestview Partners, L.P., Crestview Partners (PF), L.P., Crestview Holdings (TE), L.P., Crestview Partners, (ERISA) L.P. and Crestview Offshore Holdings (Cayman), L.P. Crestview Partners II GP, L.P. is the general partner of Crestview Partners II, L.P., Crestview Partners II (FF), L.P., Crestview Partners II (PF), L.P., Crestview Partners II (TE), L.P., Crestview Offshore Holdings II (Cayman), L.P., Crestview Offshore Holdings II (FF Cayman), L.P. and Crestview Offshore Holdings II (892 Cayman), L.P., each of which is a member of Encore II, LLC. Crestview, L.L.C. is the general partner of Crestview Partners GP, L.P. and Crestview Partners II GP, L.P.
Names of Joint Filers: (1) Crestview, L.L.C.
(2) Encore, LLC
(3) Crestview Partners (PF), L.P.
(4) Crestview Holdings (TE), L.P.
(5) Encore (ERISA), Ltd.
(6) Crestview Partners, (ERISA) L.P.
(7) Crestview Offshore Holdings (Cayman), L.P.
(8) Crestview Partners GP, L.P.
(9) Encore II, LLC
(10) Crestview Partners II (FF), L.P.
(11) Crestview Partners II (PF), L.P.
(12) Crestview Partners II (TE), L.P.
(13) Crestview Offshore Holdings II (Cayman), L.P.
(14) Crestview Offshore Holdings II (FF Cayman), L.P.
(15) Crestview Offshore Holdings II (892 Cayman), L.P.
(16) Crestview Partners II GP, L.P.
Address of Joint Filers: c/o Crestview, L.L.C.
667 Madison Avenue
New York, NY 10065
Relationship of Joint Filers to Issuer: 10% Owner
Issuer Name and Ticker or Trading Symbol: Charter Communications, Inc. (CHTR)
Date of Earliest Transaction Required
to be Reported (Month/Day/Year): 03/22/2011
Designated Filers: (1) Crestview Partners, L.P. and (2) Crestview Partners II GP, L.P.
Signature:
Crestview, L.L.C.
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Title: Chief Financial Officer
Encore, LLC
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Title: Authorized Officer
Crestview Partners, L.P.
Crestview Partners (PF), L.P.
Crestview Holdings (TE), L.P.
Crestview Partners, (ERISA) L.P.
Crestview Offshore Holdings (Cayman), L.P.
By: Crestview Partners GP, L.P, as General Partner
By: Crestview, L.L.C., as General Partner
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Crestview Partners GP, L.P.
By: Crestview, L.L.C., as General Partner
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Encore (ERISA), Ltd.
By: Crestview Partners, (ERISA) L.P.
By: Crestview Partners GP, L.P, as General Partner
By: Crestview, L.L.C., as General Partner
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Encore II, LLC
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Title: Authorized Officer
Crestview Partners II, L.P.
Crestview Partners II (FF), L.P.
Crestview Partners II (PF), L.P.
Crestview Partners II (TE), L.P.
Crestview Offshore Holdings II (Cayman), L.P.
Crestview Offshore Holdings II (FF Cayman), L.P.
Crestview Offshore Holdings II (892 Cayman), L.P.
By: Crestview Partners II GP, L.P, as General Partner
By: Crestview, L.L.C., as General Partner
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Crestview Partners II GP, L.P.
By: Crestview, L.L.C., as General Partner
By: /s/ Evelyn Pellicone
Name: Evelyn Pellicone
Date: March 31, 2011