0000950142-13-001104.txt : 20130503 0000950142-13-001104.hdr.sgml : 20130503 20130503172748 ACCESSION NUMBER: 0000950142-13-001104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130501 FILED AS OF DATE: 20130503 DATE AS OF CHANGE: 20130503 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE CITY: ST. LOUIS STATE: MO ZIP: 63131 BUSINESS PHONE: 314-965-0555 MAIL ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE CITY: ST. LOUIS STATE: MO ZIP: 63131 FORMER COMPANY: FORMER CONFORMED NAME: CHARTER COMMUNICATIONS INC /MO/ DATE OF NAME CHANGE: 19990723 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAKTREE FUND GP I, L.P. CENTRAL INDEX KEY: 0001402746 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813887 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group Holdings GP, LLC CENTRAL INDEX KEY: 0001403525 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813882 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital Group, LLC CENTRAL INDEX KEY: 0001403528 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813883 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Capital I, L.P. CENTRAL INDEX KEY: 0001403530 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813886 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OCM HOLDINGS I, LLC CENTRAL INDEX KEY: 0001407178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813885 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER NAME: FORMER CONFORMED NAME: OAKTREE HOLDINGS I, LLC DATE OF NAME CHANGE: 20070718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAKTREE HOLDINGS, LLC CENTRAL INDEX KEY: 0001407181 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813884 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Fund GP, LLC CENTRAL INDEX KEY: 0001499005 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813888 BUSINESS ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6300 MAIL ADDRESS: STREET 1: 333 SOUTH GRAND AVENUE STREET 2: 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oaktree Opportunities Investments, L.P. CENTRAL INDEX KEY: 0001501123 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 13813889 BUSINESS ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: (213) 830-6213 MAIL ADDRESS: STREET 1: C/O OAKTREE CAPITAL MANAGEMENT, L.P. STREET 2: 333 SOUTH GRAND AVENUE, 28TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 4 1 es1300654_4-chtr.xml OWNERSHIP DOCUMENT X0306 4 2013-05-01 1 0001091667 CHARTER COMMUNICATIONS, INC. /MO/ CHTR 0001501123 Oaktree Opportunities Investments, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001499005 Oaktree Fund GP, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001402746 OAKTREE FUND GP I, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001403530 Oaktree Capital I, L.P. 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001407178 OCM HOLDINGS I, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001407181 OAKTREE HOLDINGS, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001403528 Oaktree Capital Group, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 0001403525 Oaktree Capital Group Holdings GP, LLC 333 SOUTH GRAND AVENUE 28TH FLOOR LOS ANGELES CA 90071 1 0 0 0 CLASS A COMMON STOCK 2013-05-01 4 S 0 7064036 95.50 D 2000000 D Common Stock Warrants (CUSIP 16117M131) 46.86 2013-05-01 4 S 0 66460 48.64 D 2009-11-30 2014-11-30 Class A Common Stock 66460 0 I See footnote Common Stock Warrants (CUSIP 16117M123) 51.28 2013-05-01 4 S 0 136202 44.22 D 2009-11-30 2014-11-30 Class A Common Stock 136202 225882 I See footnote The amount reported includes an aggregate of 2,000,000 shares of the Class A Common Stock of which Oaktree Opportunities Investments, L.P. ("OOI") is the direct owner on May 1, 2013. The amount reported includes an aggregate of 66,460 CUSIP 16117M131 common stock warrants sold to Liberty Media Corporation pursuant to the Stock Purchase Agreement, dated as of March 19, 2013 (the "Purchase Agreement'), of which 13,140 CUSIP 16117M131 common stock warrants were disposed of by Oaktree Value Opportunities Fund, L.P. ("VOF"), and 53,320 CUSIP 16117M131 common stock warrants were disposed of by OCM Opportunities Fund V, L.P. ("OCM V"). The amount reported includes an aggregate of 136,202 CUSIP 16117M123 common stock warrants sold to Liberty Media Corporation pursuant to the Purchase Agreement, of which 93,779 CUSIP 16117M123 common stock warrants were disposed of by OCM Opportunities Fund VI, L.P. ("OCM VI"), and 42,423 CUSIP 16117M123 common stock warrants were disposed of by OCM V. The amount reported includes an aggregate of 225,882 CUSIP 16117M123 common stock warrants, of which OCM Opportunities Fund VII Delaware, L.P. ("OCM Delaware VII") is the direct owner of 104,553 CUSIP 16117M123 common stock warrants and OCM VI is the direct owner of 121,329 CUSIP 16117M123 common stock warrants as of May 1, 2013. The general partner of VOF is Oaktree Value Opportunities Fund GP, L.P. ("VOF GP"). The general partner of VOF GP is Oaktree Value Opportunities Fund GP Ltd. ("VOF GP Ltd.") The general partner of OCM V is OCM Opportunities Fund V GP, L.P. ("V GP"). The general partner of OCM VI is OCM Opportunities Fund VI GP, L.P. ("VI GP"). The general partner of OCM Delaware VII is OCM Opportunities Fund VII Delaware GP Inc. ("VII Delaware GP"). The sole shareholder of VII Delaware GP is OCM Opportunities Fund VII, L.P. ("Fund VII"). The general partner of Fund VII is OCM Opportunities Fund VII GP, L.P. ("Fund VII GP"). The general partner of Fund VII GP is OCM Opportunities Fund VII GP Ltd. ("Fund VII GP Ltd."). The general partner of OOI is Oaktree Fund GP, LLC ("GP"). Oaktree Fund GP I, L.P. ("GP I") is the managing member of GP, the general partner of V GP and VI GP and the sole shareholder of VOF GP Ltd. and Fund VII GP Ltd. The general partner of GP I is Oaktree Capital I, L.P. ("Capital I"). The general partner of Capital I is OCM Holdings I, LLC ("Holdings I"). The managing member of Holdings I is Oaktree Holdings, LLC ("Holdings"). The managing member of Holdings is Oaktree Capital Group, LLC ("OCG"). The duly elected manager of OCG is Oaktree Capital Group Holdings GP, LLC ("OCGH GP" and collectively with OOI, GP, GP I, Capital I, Holdings I, OCG and Holdings, the "Reporting Persons"). (cont'd in FN 7) (cont'd from FN 6) OCGH GP is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, John B. Frank, David M. Kirchheimer, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan and Kevin L. Clayton (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed indirect beneficial owners of the securities reported herein. Except to the extent of their respective pecuniary interest, each OCGH GP Member disclaims beneficial ownership of the securities reported herein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by this Form 4. The Reporting Persons may be deemed directors by virtue of (i) Bruce A. Karsh and Edgar Lee, both of whom are officers or their equivalents of GP I (the managing member of GP, the general partner of V GP and VI GP and the sole shareholder of VOF GP Ltd. and Fund VII GP Ltd), who served as directors appointed on behalf of OOI or (ii) their being assignees of all economic, pecuniary and voting rights of such director's compensation. Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such Reporting Person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, the beneficial owner of any securities covered by this statement except to the extent of such person's pecuniary interest therein, and except to the extent of its pecuniary interest, such beneficial ownership is expressly disclaimed by each Reporting Person. Information with respect to each Reporting Person is given solely by such Reporting Person, and no such Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. See signatures included in Exhibit 99.1 2013-05-03 EX-99.1 2 es1300654_4-ex9901.htm EXHIBIT 99.1 Unassociated Document
Exhibit 99.1:

This Statement on Form 4 is filed jointly by the Reporting Persons listed below.  The principal business address of each of these Reporting Persons is 333 South Grand Avenue, 28th Floor, Los Angeles, CA 90071.

Name of Designated Filer: Oaktree Opportunities Investments, L.P.

Date of Event Requiring Statement: May 1, 2013

Issuer Name and Ticker or Trading Symbol: CHTR
 
 
OAKTREE OPPORTUNITIES INVESTMENTS, L.P
  
       
 
By:
Its:  
Oaktree Fund GP, LLC
General Partner
  
         
 
By:
Its:  
Oaktree Fund GP I, L.P.
Managing Member
  
         
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Authorized Signatory  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Authorized Signatory  
 
 
 
OAKTREE FUND GP, LLC
  
       
 
By:
Its:
Oaktree Fund GP I, L.P.
Managing Member
  
       
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Authorized Signatory  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Authorized Signatory  
 
 
 
Page 1 of 3
 
 
 
 
OAKTREE FUND GP I, L.P.
  
       
 
By:
/s/ Richard Ting
  
  Name:
Richard Ting
  
  Title: Authorized Signatory  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Authorized Signatory  
 
 
 
OAKTREE CAPITAL I, L.P.
  
       
 
By:
Its:  
OCM Holdings I, LLC
General Partner
  
         
 
By:
/s/ Richard Ting
  
  Name:
Richard Ting
  
  Title: Managing Director and Associate
General Counsel
  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Assistant Vice President  
 
 
 
OCM HOLDINGS I, LLC
  
       
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Managing Director and Associate
General Counsel
  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title:  Assistant Vice President  
 
 
 
Page 2 of 3
 
 
 
 
OAKTREE HOLDINGS, LLC
  
       
 
By:
Its: 
Oaktree Capital Group, LLC
Managing Member
  
       
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Managing Director, Associate General Counsel
and Assistant Secretary
  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Assistant Vice President  
 
 
 
OAKTREE CAPITAL GROUP, LLC
  
       
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Managing Director, Associate General Counsel and
Assistant Secretary
  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Assistant Vice President  
 
 
 
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC
  
       
 
By:
/s/ Richard Ting
  
  Name: Richard Ting  
  Title: Managing Director and Associate
General Counsel
  
           
 
By:
/s/ Philip McDermott
  
  Name: Philip McDermott  
  Title: Assistant Vice President  
 
 
 
 
 
 
 
 
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