SEC FORM 4 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
 
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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*
Winfrey Christopher L

(Last) (First) (Middle)
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC STREET

(Street)
STAMFORD CT 06901

(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 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/15/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
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 12/09/2020 J V 9,973(1) D (1) 47,610 I Shares held by Christopher L. Winfrey 2018 GRAT II
Class A Common Stock 12/09/2020 J V 9,973(1) A (1) 37,107 D
Class A Common Stock 12/31/2020 J V 47,610(2) D (2) 0 I Shares held by Christopher L. Winfrey 2018 GRAT II
Class A Common Stock 12/31/2020 J V 47,610(2) A (2) 82,518 I Shares held by Winfrey Dynasty Trust
Class A Common Stock 34,909 I Shares held by Yeniley L Winfrey Irrevocable Trust
Class A Common Stock 945 I Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001
Class A Common Stock 20,674 I Shares held by Atalaya Management, LLC
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
Stock Options $625.55 01/15/2021 A 31,819(3) 01/15/2024(3) 01/15/2031 Class A Common Stock 31,819 $625.55 31,819 D
Restricted Stock Units (4) 01/15/2021 A 959(5) 01/15/2024(5) (4) Class A Common Stock 959 (4) 959 D
Stock Options $150.88 01/15/2021 J 2,098(6) (6) 01/15/2024 Class A Common Stock 2,098(7) (7) 10,151 I Held by Christopher L. Winfrey 2018 GRAT I
Stock Options $150.88 01/15/2021 J 2,098(6) (6) 01/15/2024 Class A Common Stock 2,098(7) (7) 26,825 D
Explanation of Responses:
1. On December 9, 2020 the Christopher L. Winfrey 2018 GRAT II transferred 9,973 shares to the Christopher L. Winfrey Revocable Trust.
2. On December 31, 2020 the Christopher L. Winfrey 2018 GRAT II transferred 47,610 shares to the Winfrey Dynasty Trust.
3. Stock Options granted on January 15, 2021 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, 2024. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
4. Restricted Stock Unit grant - price and expiration date not applicable.
5. Restricted Stock Units granted on January 15, 2021, 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, 2024.
6. Time-vesting stock options granted on January 15, 2014 under the Charter Communications, Inc. 2009 Stock Incentive Plan. The options became exercisable on January 15, 2017.
7. On January 15, 2021 the Christopher L. Winfrey 2018 GRAT I transferred 2,098 options to the reporting person.
Remarks:
/s/Daniel J. Bollinger as attorney-in-fact for Christopher L. Winfrey 01/20/2021
** 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).
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