-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B1Tpw6gACqNA6UmgMWSOCdWFH4GpWPsv51W2ACe8uv7NDiHXMFGjTd4Pj8vVxWmT LdfwVe6MChAX1YIYAcg0Xg== 0001010192-02-000069.txt : 20021127 0001010192-02-000069.hdr.sgml : 20021127 20021127112603 ACCESSION NUMBER: 0001010192-02-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021125 FILED AS OF DATE: 20021127 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHARTER COMMUNICATIONS INC /MO/ CENTRAL INDEX KEY: 0001091667 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 431857213 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27927 FILM NUMBER: 02842459 BUSINESS ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE STREET 2: SUITE 100 CITY: ST LOUIS STATE: MO ZIP: 63131 BUSINESS PHONE: 3145435712 MAIL ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE STREET 2: SUITE 100 CITY: ST LOUIS STATE: MO ZIP: 63131 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: NATHANSON MARC B CENTRAL INDEX KEY: 0001003231 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 10900 WILSHIRE BLVD 15TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3108249990 MAIL ADDRESS: STREET 1: 10900 WILSHIRE BLVD 15TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90024 4 1 nathans1.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(h) of the Investment Company Act of 1940 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Nathanson, Marc B. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Mapleton Investments, LLC 10900 Wilshire Boulvard - -------------------------------------------------------------------------------- (Street) Los Angeles California 90024 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Charter Communications, Inc./CHTR ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year 11/25/02 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |X| Director |_| 10% Owner |_| Officer (give title below) |_| Other (specify below) ____________________________________________________________________ ________________________________________________________________________________ 7. 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 ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2A. 3. Disposed of (D) Owned Form: 7. 2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of Trans- Execution Code ------------------------------- Reported (D) or Indirect 1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date any ------------ or (Instr. 3 & (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 11/25/02 X 400,445 D $29.6065(7) 0 I Footnote 1 - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 11/25/02 X 266,387 D $29.6065(7) 0 I Footnote 2 - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 11/25/02 X 179,108 D $29.6065(7) 1,909,531 I Footnote 3 - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 4,393,336 I Footnote 4 - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 2,259,628 I Footnote 5 - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 91,090 I Footnote 6 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Page 1 of 4 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number 10. of Owner- deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion Number of Title and Amount Bene- ative Nature or Derivative 6. of Underlying 8. ficially Secur- of Exer- 3A. 4. Securities Date Securities Price Owned ity: In- cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene- 1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity yy) yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 29.6065(7) 11/25/02 X 400,445 FN 8 FN 8 Class A 400,445 0 I Footnote 1 (Right to Common Sell) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 29.6065(7) 11/25/02 X 266,387 FN 8 FN 8 Class A 266,387 0 I Footnote 2 (Right to Common Sell) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 29.6065(7) 11/25/02 X 179,108 FN 8 FN 8 Class A 179,108 1,909,531 I Footnote 3 (Right to Common Sell) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 4,023,336 I Footnote 4 (Right to Sell) - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 2,259,628 I Footnote 5 (Right to Sell) - ------------------------------------------------------------------------------------------------------------------------------------ Put Option 91,090 I Footnote 6 (Right to Sell) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: 1.By Advance Company, Ltd. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 2.By Advance TV of California. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 3.By Blackhawk Holding Company, Inc. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 4.By the Falcon Cable Trust. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 5.By Falcon Holding Group, Inc. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 6.By the Nathanson Family Trust. The reporting person disclaims beneficial ownership, except to the extent of his pecuniary interest therein. 7.The exercise price includes interest thereon at a rate of 4.5% per year compounded annually. 8.The put options are exercisable from November 12, 2001 through the expiration date. Generally, the expiration date under the Put Agreement is the earlier of November 12, 2003 or the date of certain business combinations affecting the issuer's securities. /s/Michael K. Menerey 11/25/02 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Michael K. Menerey as Attorney In Fact for Marc B. Nathanson pursuant to a Power of Attorney filed with this Form 4 filing. 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. Page 2 of 4 LIMITED POWER OF ATTORNEY FOR EXECUTION OF SECURITIES AND EXCHANGE COMMISSION DOCUMENTS MARC B. NATHANSON, Principal, to MICHAEL K. MENEREY, Agent: TO PERSON EXECUTING THIS DOCUMENT: THIS IS AN IMPORTANT LEGAL DOCUMENT. IT CREATES A LIMITED POWER OF ATTORNEY. BEFORE EXECUTING THIS DOCUMENT, YOU SHOULD KNOW THESE IMPORTANT FACTS. 1. THIS DOCUMENT MAY PROVIDE THE PERSON YOU DESIGNATE AS YOUR ATTORNEY-IN-FACT WITH BROAD POWERS TO EXECUTE ON YOUR BEHALF ANY AND ALL DOCUMENTS YOU ARE REQUIRED TO SIGN IN YOUR INDIVIDUAL CAPACITY AND DELIVER TO THE SECURITIES AND EXCHANGE COMMISSION ("SEC"). 2. THESE POWERS WILL EXIST FOR AN INDEFINITE PERIOD OF TIME UNLESS YOU LIMIT THEIR DURATION IN THIS DOCUMENT. 3. THIS POWER OF ATTORNEY WILL CONTINUE TO BE EFFECTIVE EVEN THOUGH THE PRINCIPAL BECOMES INCAPACITATED. 4. YOU HAVE THE RIGHT TO REVOKE OR TERMINATE THIS LIMITED POWER OF ATTORNEY AT ANY TIME. TO WHOM IT MAY CONCERN: 1. MARC B. NATHANSON (the "Principal"), presently a resident of Los Angeles County, California, appoints MICHAEL K. MENEREY (the "Agent"), presently a resident of Los Angeles County, California, as the true and lawful attorney- in-fact for the Principal and in the Principal's name, place, and stead, to take whatever actions the Agent considers proper in connection with the completion, execution, and delivery to the SEC of documents the Principal is required to sign in his individual capacity and file with or deliver to the SEC. 2. Without limiting the generality of the foregoing, generally to do, execute, and perform any other act, deed, matter, or thing, that in the Agent's opinion ought to be done, executed, or performed in conjunction with this power of attorney, of every kind and nature, including the power to bring suit against any person or entity that fails or refuses to honor this durable power of attorney, as fully and effectively as the Principal could do if personally present. 3. The Agent's signature under the authority granted in the power of attorney may be accepted by any third party or organization with the same force and effect as if the Principal were personally present and acting on the Principal's behalf. No person of organization that relies on the Agent's authority shall incur any liability to the Principal, the Principal's estate, heirs, successors, or assigns, because of reliance on this instrument. The Principal's estate, heirs, successors, and assigns shall be bound by the Agent's acts under this power of attorney. 4. This Power of Attorney shall not be affected by the subsequent incapacity of the Principal. 5. The Principal does hereby ratify and confirm that all that the Agent shall do, or cause to be done by virtue of this power of attorney. Page 3 of 4 6. The Agent is authorized to make photocopies of this power of attorney and any attached documents as frequently and in such quantity as the Agent deems appropriate. Each photocopy shall have the same force and effect as the original. IN WITNESS WHEREOF, the Principal has signed this Limited Power of Attorney for execution of Securities And Exchange Commission documents on September 6, 2002. /s/Marc B. Nathanson ---------------------------- Marc B. Nathanson, Principal State of California ) ) SS. County of Los Angeles ) On September 6, 2002, before me, Laura L. Dainko, a notary public, personally appeared MARC B. NATHANSON, personally known to me to be the person whose name is subscribed to the within instrument, and acknowledged to me that he executed the same in his authorized capacity, and that by his signature on the instrument, the person or the entity upon behalf of which the person acted, executed the instrument. WITNESS my hand and official seal. /s/ Laura L. Dainko Signature__________________________________ Page 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----