0001091667-23-000035.txt : 20230224 0001091667-23-000035.hdr.sgml : 20230224 20230224161201 ACCESSION NUMBER: 0001091667-23-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230222 FILED AS OF DATE: 20230224 DATE AS OF CHANGE: 20230224 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: 23667272 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_167727309227399.xml FORM 4 X0306 4 2023-02-22 0 0001091667 CHARTER COMMUNICATIONS, INC. /MO/ CHTR 0001504089 Winfrey Christopher L C/O CHARTER COMMUNICATIONS, INC. 400 WASHINGTON BLVD. STAMFORD CT 06902 0 1 0 0 President and CEO Stock Options 221.248 2023-01-28 5 J 0 E 180000 0 D 2026-06-17 Class A Common Stock 180000.0 119681 D Stock Options 221.248 2023-01-28 5 J 0 E 180000 0 A 2026-06-17 Class A Common Stock 377628.0 377628 I Held by GRAT Stock Options 221.248 2023-01-28 5 J 0 E 64052 0 D 2026-06-17 Class A Common Stock 64052.0 313576 I Held by GRAT Stock Options 221.248 2023-01-28 5 J 0 E 64052 0 A 2026-06-17 Class A Common Stock 64052.0 183733 D Stock Options 380.53 2023-02-22 4 A 0 531840 0 A 2033-02-22 Class A Common Stock 531840.0 531840 D Restricted Stock Units 2023-02-22 4 A 0 59093 0 A Class A Common Stock 59093.0 59093 D On January 28, 2023, the reporting person transferred 180,000 stock options to a grantor retained annuity trust. The stock options were granted on June 17, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan (with a 10-year term) as follows: 99,461 shares subject to the attainment of a $289.76 per-share hurdle; 99,462 shares subject to the attainment of a $364.97 per-share hurdle; 99,462 shares subject to the attainment of $455.66 per-share hurdle; 99,462 shares subject to the attainment of a $496.58 per-share hurdle; and 99,462 shares subject to the attainment of a $564.04 per-share hurdle. One third of the stock options were 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 had not vested within 6 years from the date of grant would have been cancelled. All options were fully exercisable as of June 17, 2021. On January 28, 2023, the reporting person transferred 64,052 stock options from a grantor retained annuity trust to his personal account. The stock options were granted on June 17, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan (with a 10-year term) as follows: 99,461 shares subject to the attainment of a $289.76 per-share hurdle; 99,462 shares subject to the attainment of a $364.97 per-share hurdle; 99,462 shares subject to the attainment of $455.66 per-share hurdle; 99,462 shares subject to the attainment of a $496.58 per-share hurdle; and 99,462 shares subject to the attainment of a $564.04 per-share hurdle. One third of the stock options were 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 had not vested within 6 years from the date of grant would have been cancelled. All options were fully exercisable as of June 17, 2021. Stock options granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan (with a 10-year term) as follows: 106,368 shares subject to the attainment of a $564.00 per-share hurdle; 106,368 shares subject to the attainment of a $639.00 per-share hurdle; 106,368 shares subject to the attainment of $798.00 per-share hurdle; 106,368 shares subject to the attainment of a $870.00 per-share hurdle; 53,184 shares subject to the attainment of a $988.00 per-share hurdle; and 53,184 shares subject to the attainment of a $1,000.00 per-share hurdle. One third of the stock options are 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. Restricted Stock Unit Grant - price and expiration date not applicable. Restricted Stock Units granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 19,697 shares subject to the attainment of a $798.00 per-share hurdle; 19,698 shares subject to the attainment of a $870.00 per-share hurdle; 9,849 shares subject to the attainment of a $988.00 per-share hurdle; and 9,849 shares subject to the attainment of $1,000.00 per-share hurdle. One third of the Restricted Stock Units are 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 Restricted Stock Units that have not vested within 6 years from the date of grant will be cancelled. /s/Jennifer A. Smith as attorney-in-fact for Christopher L. Winfrey 2023-02-24