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FORM 4
------ U.S. SECURITIES AND EXCHANGE COMMISSION
[ ] Check box if no longer WASHINGTON, DC 20549
subject to Section 16. Form
4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
continue. See Instruction 1(b).
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person(1)|2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person
| | to Issuer (Check all applicable)
Barford David G. | Charter Communications, Inc. - CHTR | Director 10% Owner
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(Last) (First) (Middle) |3. IRS Identification | 4. Statement for | X Officer (give title below)
| Number of | Month/Year | -----
| Reporting Person, | | Other (specify below)
| if an Entity | | Executive Vice President and
c/o Charter Communications, Inc. | (Voluntary) | September, 2001 | Chief Operating Officer
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(Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing
| | Date of Original | (Check applicable line)
| | (Month/Year) | X Form Filed by One Reporting Person
12405 Powerscourt Drive | | October 5, 2001 | --
-----------------------------------------|-------------------------------------------------| Form Filed by More than One
(City) (State) (Zip) | | -- Reporting Person
St. Louis MO 63131 | |
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TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security |2. Transaction| 3. Transaction|4. Securities Acquired (A)| 5. Amount of|6. Owner- |7. Nature
(Instr. 3) | Date | Code | or Disposed of (D) | Securities | ship | of
| | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially| Form: | Indirect
| | | | Owned at End| Direct | Bene-
| |---------------|--------------------------| of Month | (D) or | ficial
| | | | | (A) | | (Instr. 3 | Indirect | Owner-
| (Month/Day/ | | | | or | | and 4) | (I) | ship
| Year) | Code | V | Amount | (D) | Price | |(Instr. 4)|(Instr. 4)
--------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
Class A Common Stock | 09/28/01 | A | |50,000 | A | | 52,500 | I |By Self
| | | | (1) | | | | |as Trustee
| | | | | | | | |for the
| | | | | | | | |David G.
| | | | | | | | |Barford
| | | | | | | | |Revocable
| | | | | | | | |Trust
| | | | | | | | |dated
| | | | | | | | |October 1,
| | | | | | | | |1999
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| | | | | | | | |
--------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
--------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |---------
| | | | | | | | |
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(1) Restricted stock granted to the reporting person pursuant to the 2001 Stock Incentive Plan. 25% (12,500) of the shares vested
immediately on September 28, 2001. The remainder vest in 36 equal monthly installments commencing November 1, 2002, conditioned
upon the grantee's continuous employment with Charter Communications, Inc.
2
FORM 4 (CONTINUED) 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 | 2. Conver- |3. Trans- |4. Trans- |5. Number of |6. Date Exer- |7. Title and Amount |8. Price
Security | sion or | action | action | Derivative | cisable and | of Underlying | of
(Instr. 3) | Exercise | Date | Code | Securities Ac- | Expiration | Securities | Deriv-
| Price of | (Month/ | (Instr. 8)| quired (A) or | Date | (Instr. 3 and 4) | ative
| Deriv- | Day/ | | Disposed of (D)| (Month/Day/ | | Secur-
| ative | Year) | | (Instr. 3, 4, | Year) | | ity
| Security | | | and 5) | | | (Instr. 5)
| | | | |-------------------------------------|
| | | | |Date |Expira- | | Amount or |
| | |-------------------------------|Exer- |tion | Title | Number of |
| | | Code |V | (A) | (D) |cisable|Date | | Shares |
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | |Common | |
Employee Stock Option | | | | | | | | |Stock, | |
(right to buy) | $11.99 | 9/28/01 | J(2) | |750,000| | (2) |9/28/11 |Class A | 750,000 | N/A
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
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------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
------------------------|-------------|----------|-------|----|-------|----------|-------|--------|--------|-----------|------------
| | | | | | | | | | |
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9. Number of | 10. Ownership | 11. Nature of
Derivative | Form of | Indirect
Securities | Derivative | Beneficial
Beneficially | Security: | Ownership
Owned at End | Direct (D) | (Instr. 4)
of Month | or Indirect (I) |
(Instr. 4) | (Instr. 4) |
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750,000 | D |
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Explanation of Responses:
(2) Granted to the reporting person pursuant to the 2001 Stock Incentive Plan. 25% (187,500) of the options vested immediately
on September 28, 2001. The remainder vest in 36 equal monthly installments commencing November 1, 2002.
/s/ David G. Barford 10/5/01
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**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number.
Page 2
(Print or Type Responses)
