0001091667-20-000204.txt : 20201105 0001091667-20-000204.hdr.sgml : 20201105 20201105163851 ACCESSION NUMBER: 0001091667-20-000204 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201103 FILED AS OF DATE: 20201105 DATE AS OF CHANGE: 20201105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Winfrey Christopher L CENTRAL INDEX KEY: 0001504089 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33664 FILM NUMBER: 201291112 MAIL ADDRESS: STREET 1: CHARTER COMMUNICATIONS, INC. STREET 2: 12405 POWERSCOURT DRIVE CITY: ST. LOUIS STATE: MO ZIP: 63131 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: 841496755 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 400 ATLANTIC STREET CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-905-7800 MAIL ADDRESS: STREET 1: 400 ATLANTIC STREET CITY: STAMFORD STATE: CT ZIP: 06901 FORMER COMPANY: FORMER CONFORMED NAME: CHARTER COMMUNICATIONS INC /MO/ DATE OF NAME CHANGE: 19990723 4 1 wf-form4_160461218775828.xml FORM 4 X0306 4 2020-11-03 0 0001091667 CHARTER COMMUNICATIONS, INC. /MO/ CHTR 0001504089 Winfrey Christopher L C/O CHARTER COMMUNICATIONS, INC. 400 ATLANTIC STREET STAMFORD CT 06901 0 1 0 0 Chief Financial Officer Class A Common Stock 2020-09-16 5 J 0 E 6265 D 85388 D Class A Common Stock 2020-09-16 5 J 0 E 6265 A 7210 I Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 Class A Common Stock 2020-11-03 4 S 0 6265 594.99 D 945 I Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 Class A Common Stock 2020-11-03 4 S 0 58254 595.89 D 27134 D Class A Common Stock 2020-11-03 5 G 0 E 6452 0 D 20674 I Shares held by Atalaya Management, LLC Class A Common Stock 34908 I Shares held by Winfrey Dynasty Trust Class A Common Stock 34909 I Shares held by Yeniley L Winfrey Irrevocable Trust Class A Common Stock 57583 I Shares held by Christopher L. Winfrey 2018 GRAT II Stock Options 221.248 2020-10-19 5 J 0 E 66308 D 2026-06-17 Class A Common Stock 66308.0 165770 D Stock Options 221.248 2020-10-19 5 J 0 E 66308 A 2026-06-17 Class A Common Stock 66308.0 66308 I Held by Christopher L. Winfrey 2020 GRAT II Stock Options 221.248 2026-06-17 Class A Common Stock 165770.0 165770 I Held by Christopher L. Winfrey 2020 GRAT I Stock Options 221.248 2026-06-17 Class A Common Stock 99461.0 99461 I Held by Christopher L. Winfrey 2019 GRAT I On September 16, 2020 the reporting person transferred 6,265 shares to the Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001. Sales of shares effectively representing shares purchased in the market in 2010, 2011 and 2017 and a portion of an equity grant received in 2010. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $594.28 to $597.32, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $593.03 to $599.01, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Charitable gift to donor advised fund. Stock options granted on June 17, 2016 under the Charter Communictions, Inc. Amended and Restated 2009 Stock Incentive Plan: 99,461 shares subject to the attainment of a $289.76 per-share hurdle (with a 10-year term); 99,462 shares subject to the attainment of a $364.97 per-share hurdle (with a 10-year term); 99,462 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term); 99,462 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term); and 99,462 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term). One third of the stock options will be first eligible to vest on each of the third, fourth and fifth anniversaries of the date of grant subject to achievement of the applicable per-share price hurdles. Any options that have not vested within 6 years from the date of grant will be cancelled. On October 19, 2020 the reporting person transferred 66,308 stock options to the Christopher L. Winfrey 2020 GRAT II. /s/Daniel J. Bollinger as attorney-in-fact for Christopher L. Winfrey 2020-11-05