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 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 04/28/2020 |
3. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [ CHTR ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock | 4,135 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options | 01/16/2021 | 01/16/2028 | Class A Common Stock | 23,620(1) | 353.2046 | D | |
Restricted Stock Units | 01/16/2021 | (2) | Class A Common Stock | 708(3) | (2) | D | |
Stock Options | 01/15/2022 | 01/15/2029 | Class A Common Stock | 27,151(4) | 292.31 | D | |
Restricted Stock Units | 01/15/2022 | (2) | Class A Common Stock | 855(5) | (2) | D | |
Stock Options | 08/15/2022 | 08/15/2029 | Class A Common Stock | 6,760(6) | 378.67 | D | |
Restricted Stock Units | 08/15/2022 | (2) | Class A Common Stock | 198(7) | (2) | D | |
Stock Options | 01/15/2023 | 01/15/2030 | Class A Common Stock | 24,781(8) | 512.0575 | D | |
Restricted Stock Units | 01/15/2023 | (2) | Class A Common Stock | 781(9) | (2) | D |
Explanation of Responses: |
1. Stock Options granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 16, 2021. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
2. Restricted Stock Unit grant - price and expiration date not applicable. |
3. Restricted Stock Units granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2021. |
4. Stock Options granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
5. Restricted Stock Units granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2022. |
6. Stock Options granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, August 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
7. Restricted Stock Units granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, August 15, 2022. |
8. Stock Options granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2023. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
9. Restricted Stock Units granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2023. |
Remarks: |
/s/Richard J. DiGeronimo | 05/05/2020 | |
** 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. |