-----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, R9jPBbFQw6I7zKVNzUPjp/DWo/X38O2t/SSU8n+8ncGhGV6eYVD/ilKCPXY3X1Hh SpeECaxcZegqFawds2xkbQ== 0000950124-99-006399.txt : 19991213 0000950124-99-006399.hdr.sgml : 19991213 ACCESSION NUMBER: 0000950124-99-006399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991108 FILED AS OF DATE: 19991210 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-27927 FILM NUMBER: 99772310 BUSINESS ADDRESS: STREET 1: 12444 POWERSCOURT DRIVE CITY: ST LOUIS STATE: MO ZIP: 63131 BUSINESS PHONE: 3149650555 MAIL ADDRESS: STREET 1: 12444 POWERSCOURT DRIVE CITY: ST LOUIS STATE: MO ZIP: 63131 COMPANY DATA: COMPANY CONFORMED NAME: SHAW CURTIS S CENTRAL INDEX KEY: 0001098953 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: CHARTER COMMUNICATIONS INC STREET 2: 12444 POWERSCOURT DRIVE CITY: ST LOUIS STATE: MO ZIP: 63131 BUSINESS PHONE: 3149650555 4 1 FORM 4 1 - ------ 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 - ------------------------------------------------------------------------------------------------------------------------------------ 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) Curtis S. Shaw | Charter Communications, Inc. - CHTR | Director 10% Owner - ----------------------------------------------------------------------------------------| ----- ----- (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 | November, 1999 | ----- c/o Charter Communications, Inc. | (Voluntary) | | Senior Vice President, General Counsel | | | and Secretary - -----------------------------------------| |-----------------------|---------------------------------------- (Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing | | Date of Original | X (Check applicable line) 12444 Powerscourt Drive | | (Month/Year) | -- Form Filed by One Reporting Person | | | - -----------------------------------------|----------------------------------------------| -- Form Filed by More than One (City) (State) (Zip) | | Reporting Person St. Louis MO 63131 | | - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 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 | 11/8/99 | P | |5,000 | A | $19.00 | 5,000 | D | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - --------------------------------------|--------------|-------|-------|--------|------|----------|-------------|--------- |--------- | | | | | | | | | - ----------------------------------------------------------------------------------------------------------------------------------
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 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 | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 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) | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - -------------------------------------------------------------------------- Explanation of Responses: /s/ Curtis Shaw 12/3/99 -------------------------------- ------- Signature of Reporting Person(1) Date (1)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. Page 2
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