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) 03/12/2013 | ||||||||||||||||||||||||||
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 | 03/12/2013 | S | 6,166,667 | D | $89.468 | 17,794,541 | I | See footnote(1) |
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 |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. See Exhibit 99.1. |
[see signatures attached as Exhibit 99.2] | 03/13/2013 | |
** 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
(1) The number of shares of the Class A common stock, par value $0.001 (the Common Stock) of the Issuer reported as beneficially owned following the reported transaction includes: : (i) 17,318,265 shares of Common Stock held of record by AP Charter Holdings (Sub II), LLC (AP Charter Sub II); and (ii) 476,276 shares of Common Stock held of record by Red Bird, L.P. (Red Bird). This report does not include the shares of Common Stock issuable upon exercise of warrants held by AP Charter Holdings, L.P. (AP Charter), Red Bird, Blue Bird, L.P. (Blue Bird) and Green Bird, L.P. (Green Bird), respectively, some of which are held by Green Bird for the benefit of Permal Apollo Value Investment Fund Ltd. (Permal Fund).
AP Charter Holdings (Sub II MM), LLC (AP Charter Sub MM) is the sole member and manager of AP Charter Sub II, and AP Charter is the sole member and manager of AP Charter Sub MM. Apollo Advisors VI, L.P. (Advisors VI) and Apollo Advisors VII, L.P. (Advisors VII) serve as the general partners of AP Charter. Apollo Capital Management VI, LLC (ACM VI) serves as the general partner of Advisors VI, and Apollo Capital Management VII, LLC (ACM VII) serves as the general partner of Advisors VII. Apollo Principal Holdings I, L.P. (Principal I) is the sole member and manager of each of ACM VI and ACM VII. Apollo Principal Holdings I GP, LLC (Principal I GP) serves as the general partner of Principal I.
Red Bird GP, Ltd. (Red Bird GP) is the general partner of Red Bird, Blue Bird GP, Ltd. (Blue Bird GP) is the general partner of Blue Bird, and Green Bird GP, Ltd. (Green Bird GP) is the general partner of Green Bird. Apollo SVF Management, L.P. (SVF Management) is the director of each of Red Bird GP and Blue Bird GP. SVF Management also serves as the investment manager for the Permal Fund, and as such has the authority to make investment decisions on behalf of, and vote securities held by, Permal Fund. Apollo Value Management, L.P. (Value Management) is the director of Green Bird GP. The general partner of SVF Management is Apollo SVF Management GP, LLC (SVF Management GP), and the general partner of Value Management is Apollo Value Management GP, LLC (Value Management GP). Apollo Capital Management, L.P. (Capital Management) is the sole member and manager of each of SVF Management GP and Value Management GP. The general partner of Capital Management is Apollo Capital Management GP, LLC (Capital Management GP).
The sole shareholder of Red Bird GP is Apollo SOMA Advisors, L.P. (SOMA Advisors), the sole shareholder of Blue Bird GP is Apollo SVF Advisors, L.P. (SVF Advisors), and the sole shareholder of Green Bird GP is Apollo Value Advisors, L.P. (Value Advisors). The general partner of SOMA Advisors is Apollo SOMA Capital Management, LLC (SOMA Capital Management), the general partner of SVF Advisors is Apollo SVF Capital Management, LLC (SVF Capital Management), and the general partner of Value Advisors is Apollo Value Capital Management, LLC (Value Capital Management). Apollo Principal Holdings II, L.P. (Principal II) is the sole member and manager of each of SOMA Capital Management, SVF Capital Management and Value Capital Management. Apollo Principal Holdings II GP, LLC (Principal Holdings GP) is the general partner of Principal II.
Apollo Management Holdings, L.P. (Management Holdings) is the sole member and manager of each of Capital Management GP and International GP, and Apollo Management Holdings GP, LLC (Management Holdings GP) is the general partner of Management Holdings. Leon Black, Joshua Harris and Marc Rowan are the managers of Principal I GP and Principal II GP, and the managers as well as principal executive officers of Management Holdings GP.
Neither AP Charter Sub II, AP Charter Sub MM or AP Charter has any voting or dispositive power over the shares of Common Stock held of record by Red Bird, and none of Red Bird, Blue Bird, Green Bird or Permal Fund have any voting or dispositive power over the shares of Common Stock held of record or beneficially owned by AP Charter Sub II, AP Charter Sub MM or AP Charter. AP Charter Sub II and Red Bird each disclaim beneficial ownership of any shares of the Common Stock held of record by one another, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity is the beneficial owner of or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. AP Charter Sub II, AP Charter Sub MM, AP Charter, Red Bird, Blue Bird, Green Bird, Advisors VI, ACM VI, Advisors VII, ACM VII, Principal I, Principal I GP, Red Bird GP, Blue Bird GP, Green Bird GP, SVF Management, SVF Management GP, Value Management, Value Management GP, Capital Management, Capital Management GP, SOMA Advisors, SOMA Capital Management, SVF Advisors, SVF Capital Management, Value Advisors, Value Capital Management, Principal II, Principal II GP, Management Holdings, Management Holdings GP, and Messrs. Leon Black, Joshua Harris and Marc Rowan, each disclaim beneficial ownership of all shares of the Common Stock held of record or beneficially owned by any of such persons or by Permal Fund, in excess of their pecuniary interests in such securities, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
The principal address for AP Charter Sub II, AP Charter Sub MM, AP Charter, Advisors VI, ACM VI, Advisors VII, ACM VII, Principal I, Principal I GP, SOMA Advisors, SOMA Capital Management, SVF Advisors, SVF Capital Management, Value Advisors, Value Capital Management, Principal II and Principal II GP is One Manhattanville Road, Suite 201, Purchase, New York 10577. The principal address for Red Bird, Red Bird GP, Blue Bird, Blue Bird GP, Green Bird and Green Bird GP is c/o Intertrust Corporate Services (Cayman) Limited, 190 Elgin Avenue, George Town, Grand Cayman KY1-9005, Cayman Islands. The principal address for SVF Management, SVF Management GP, Value Management, Value Management GP, Capital Management, Capital Management GP, Management Holdings, Management Holdings GP, and Messrs. Black, Harris and Rowan, is 9 West 57th Street, 43rd Floor, New York, New York 10019.
Exhibit 99.2
This 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) AP Charter Holdings (Sub II MM), LLC; (vi) AP Charter Holdings, L.P., (vii) Apollo Advisors VI, L.P., (viii) Apollo Capital Management VI, LLC, (ix) Apollo Advisors VII, L.P., (x) Apollo Capital Management VII, LLC, (xi) Apollo Principal Holdings I, L.P., (xii) Apollo Principal Holdings I GP, LLC, (xiii) Red Bird GP, Ltd., (xiv) Blue Bird GP, Ltd., (xv) Green Bird GP, Ltd., (xvi) Apollo SVF Management, L.P., (xvii) Apollo SVF Management GP, LLC, (xviii) Apollo Value Management, L.P., (xix) Apollo Value Management GP, LLC, (xx) Apollo Capital Management, L.P., (xxi) Apollo Capital Management GP, LLC, (xxii) Apollo SOMA Advisors, L.P., (xxiii) Apollo SOMA Capital Management, LLC, (xxiv) Apollo SVF Advisors, L.P., (xxv) Apollo SVF Capital Management, LLC, (xxvi) Apollo Value Advisors, L.P., (xxvii) Apollo Value Capital Management, LLC, (xxviii) Apollo Principal Holdings II, L.P., (xxix) Apollo Principal Holdings II GP, LLC, (xxx) Apollo Management Holdings, L.P., and (xxxi) Apollo Management Holdings GP, LLC
Name of Designated Filer: Apollo Management Holdings GP, LLC
Date of Event Requiring Statement: March 12, 2013
Issuer Name and Ticker or Trading Symbol: Charter Communications, Inc. [CHTR]
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AP CHARTER HOLDINGS (SUB II), LLC | |||||
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By: |
/s/ Laurie D. Medley | ||||
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Name: |
Laurie D. Medley | ||||
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Vice President | ||||
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AP CHARTER HOLDINGS (SUB II MM), LLC | |||||
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By: |
/s/ Laurie D. Medley | ||||
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Name: |
Laurie D. Medley | ||||
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Title: |
Vice President | ||||
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RED BIRD, L.P. | |||||
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By: |
Red Bird GP, Ltd. | ||||
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its general partner | ||||
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Apollo SVF Management, L.P. | |||
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its director | |||
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Apollo SVF Management GP, LLC | ||
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its general partner | ||
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By: |
/s/ Laurie D. Medley | |
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Name: |
Laurie D. Medley | |
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Title: |
Vice President | |
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BLUE BIRD, L.P. | |||||
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Blue Bird GP, Ltd. | ||||
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its general partner | ||||
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Apollo SVF Management, L.P. | |||
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its director | |||
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Apollo SVF Management GP, LLC | ||
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its general partner | ||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | |
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Title: |
Vice President | |
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GREEN BIRD, L.P. | |||||
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By: |
Green Bird GP, Ltd. | ||||
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its general partner | ||||
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By: |
Apollo Value Management, LP. | |||
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its director | |||
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By: |
Apollo Value Management GP, LLC | ||
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its general partner | ||
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By |
/s/ Laurie D. Medley | |
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Name: |
Laurie D. Medley | |
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Title: |
Vice President | |
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AP CHARTER HOLDINGS, L.P. | |||||||
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By: |
Apollo Advisors VI, L.P. | ||||||
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its general partner | ||||||
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Apollo Capital Management VI, LLC | |||||
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its general partner | |||||
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By: |
/s/ Laurie D. Medley | ||||
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Laurie D. Medley | ||||
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Vice President | ||||
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Apollo Advisors VII, L.P. | ||||||
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its general partner | ||||||
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Apollo Capital Management VII, LLC, | |||||
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its general partner | |||||
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/s/ Laurie D. Medley | ||||
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Laurie D. Medley | ||||
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Vice President | ||||
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APOLLO ADVISORS VI, L.P. | |||||||
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Apollo Capital Management VI, LLC, | ||||||
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its general partner | ||||||
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/s/ Laurie D. Medley | |||||
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Laurie D. Medley | |||||
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Vice President | |||||
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APOLLO CAPITAL MANAGEMENT VI, LLC | |||||||
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Laurie D. Medley | ||||||
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Vice President | ||||||
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APOLLO ADVISORS VII, L.P. | |||||||
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Apollo Capital Management VII, LLC, | ||||||
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its general partner | ||||||
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/s/ Laurie D. Medley | |||||
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Laurie D. Medley | |||||
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Vice President | |||||
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APOLLO CAPITAL MANAGEMENT VII, LLC | ||||||
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/s/ Laurie D. Medley | |||||
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Laurie D. Medley | |||||
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Vice President | |||||
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APOLLO PRINCIPAL HOLDINGS I, L.P. | ||||||
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Apollo Principal Holdings I GP, LLC, | |||||
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its general partner | |||||
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/s/ Laurie D. Medley | ||||
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Laurie D. Medley | ||||
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Vice President | ||||
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APOLLO PRINCIPAL HOLDINGS I GP, LLC | ||||||
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/s/ Laurie D. Medley | |||||
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Laurie D. Medley | |||||
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Vice President | |||||
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RED BIRD GP, LTD. | ||||||
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Apollo SVF Management, L.P. | |||||
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Apollo SVF Management GP, LLC | ||||
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Laurie D. Medley | |||
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BLUE BIRD GP, LTD. | ||||||
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Apollo SVF Management, L.P. | |||||
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Apollo SVF Management GP, LLC | ||||
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Laurie D. Medley | |||
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Vice President | |||
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GREEN BIRD GP, LTD. | |||||
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Apollo Value Management, L.P. | ||||
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Apollo Value Management GP, LLC | |||
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Laurie D. Medley | ||
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APOLLO SVF MANAGEMENT, L.P. | |||||
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Apollo SVF Management GP, LLC | ||||
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its general partner | ||||
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/s/ Laurie D. Medley | |||
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Laurie D. Medley | |||
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Vice President | |||
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APOLLO SVF MANAGEMENT GP, LLC | |||||
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/s/ Laurie D. Medley | ||||
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Laurie D. Medley | ||||
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Vice President | ||||
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APOLLO VALUE MANAGEMENT, L.P. | |||||
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Apollo Value Management GP, LLC | ||||
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its general partner | ||||
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By: |
/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Vice President | |||
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APOLLO VALUE MANAGEMENT GP, LLC | |||||
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/s/ Laurie D. Medley | ||||
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Name: |
Laurie D. Medley | ||||
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Vice President | ||||
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APOLLO CAPITAL MANAGEMENT, L.P. | ||||
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Apollo Capital Management GP, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | ||
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Vice President | ||
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APOLLO CAPITAL MANAGEMENT GP, LLC | ||||
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/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Vice President | |||
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APOLLO SOMA ADVISORS, L.P. | ||||
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Apollo SOMA Capital Management, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Laurie D. Medley | ||
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Vice President | ||
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APOLLO SOMA CAPITAL MANAGEMENT, LLC | ||||
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/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Vice President | |||
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APOLLO SVF ADVISORS, L.P. | ||||
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Apollo SVF Capital Management, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | ||
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Vice President | ||
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APOLLO SVF CAPITAL MANAGEMENT, LLC | ||||
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/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Vice President | |||
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APOLLO VALUE ADVISORS, L.P. | ||||
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By: |
Apollo Value Capital Management, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | ||
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Title: |
Vice President | ||
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APOLLO VALUE CAPITAL MANAGEMENT, LLC | ||||
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By: |
/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Title: |
Vice President | |||
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APOLLO PRINCIPAL HOLDINGS II, L.P. | ||||
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By: |
Apollo Principal Holdings II GP, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | ||
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Title: |
Vice President | ||
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APOLLO PRINCIPAL HOLDINGS II GP, LLC | ||||
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/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Title: |
Vice President | |||
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APOLLO MANAGEMENT HOLDINGS, L.P. | ||||
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By: |
Apollo Management Holdings GP, LLC | |||
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its general partner | |||
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By: |
/s/ Laurie D. Medley | ||
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Name: |
Laurie D. Medley | ||
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Vice President | ||
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APOLLO MANAGEMENT HOLDINGS GP, LLC | ||||
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By: |
/s/ Laurie D. Medley | |||
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Name: |
Laurie D. Medley | |||
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Title: |
Vice President | |||