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*
Rutledge Thomas

(Last) (First) (Middle)
C/O CHARTER COMMUNICATIONS, INC.
400 WASHINGTON BLVD.

(Street)
STAMFORD CT 06902

(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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
3. Date of Earliest Transaction (Month/Day/Year)
01/18/2022
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 08/23/2021 G V 54,436(1) D $0 35,731 I By 2019 GRAT UA
Class A Common Stock 08/23/2021 J V 35,731(1) D (1) 0 I By 2019 GRAT UA
Class A Common Stock 08/23/2021 J V 35,731(1) A (1) 39,310 D
Class A Common Stock 12/07/2021 J V 68,054.21(2) D (2) 81,945.833 I By 2020 GRAT
Class A Common Stock 12/07/2021 J V 68,054.21(2) A (2) 107,364.21 D
Class A Common Stock 12/29/2021 G V 14,440.0432(3) D $0 92,924.17 D
Class A Common Stock 12/30/2021 G V 9,725(3) D $0 83,199.17 D
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 $588.825 01/18/2022 A 172,067(4) 01/18/2025 01/18/2032 Class A Common Stock 172,067 $588.825 172,067 D
Explanation of Responses:
1. Transfer of shares from 2019 GRAT UA dated August 19, 2019, upon its settlement. Voluntarily reported early on this Form 4 rather than on a later Form 5.
2. Transfer of shares from 2020 GRAT dated December 7, 2020. Voluntarily reported early on this Form 4 rather than on a later Form 5.
3. Charitable gift. The charity will not sell the gifted shares outside of a trading window under Charter's trading policy. The gifts are being voluntarily reported early on this Form 4 rather than on a later Form 5.
4. Stock Options granted on January 18, 2022 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 18, 2025. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
Remarks:
/s/Thomas M. Rutledge 01/19/2022
** 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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