0001091667-23-000161.txt : 20231121
0001091667-23-000161.hdr.sgml : 20231121
20231121214858
ACCESSION NUMBER: 0001091667-23-000161
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231120
FILED AS OF DATE: 20231121
DATE AS OF CHANGE: 20231121
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: 231429850
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
wk-form4_1700621322.xml
FORM 4
X0508
4
2023-11-20
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
0
Class A Common Stock
2023-11-20
4
G
0
2600
0
D
47503
D
Class A Common Stock
2023-11-20
4
G
0
2600
0
A
3545
I
Shares held by Yeniley Lorenzo Winfrey Revocable Trust
Class A Common Stock
2023-11-20
4
G
0
3600
0
D
43903
D
Class A Common Stock
2023-11-20
4
G
0
3600
0
A
86118
I
Shares held by Winfrey Dynasty Trust
Class A Common Stock
2023-11-20
4
G
0
47733
0
D
38385
I
Shares held by Winfrey Dynasty Trust
Class A Common Stock
2023-11-20
4
G
0
47733
0
A
47733
I
Shares held by GST Non-Exempt Winfrey Dynasty Trust
Class A Common Stock
20674
I
Shares held by Atalaya Management, LLC
Class A Common Stock
34909
I
Shares held by Yeniley L Winfrey Irrevocable Trust
Stock Options
512.0575
2023-09-21
5
J
0
E
55758
0
D
2023-01-15
2030-01-15
Class A Common Stock
55758
0
D
Stock Options
512.0575
2023-09-21
5
J
0
E
55758
0
A
2023-01-15
2030-01-15
Class A Common Stock
55758
55758
I
Held by GRAT
Stock Options
221.248
2023-10-03
5
J
0
E
53247
0
D
2026-06-17
Class A Common Stock
53247
260329
I
Held by GRAT
Stock Options
221.248
2023-10-03
5
J
0
E
53247
0
A
2026-06-17
Class A Common Stock
53247
236980
D
Stock Options
221.248
2023-10-03
5
J
0
E
80329
0
D
2026-06-17
Class A Common Stock
80329
180000
I
Held by GRAT
Stock Options
221.248
2023-10-03
5
J
0
E
80329
0
A
2026-06-17
Class A Common Stock
80329
317309
D
On November 20, 2023, the reporting person transferred 2,600 shares to the Yeniley Lorenzo Winfrey Revocable Trust U/A DTD 07/27/2001.
On November 20, 2023, the reporting person transferred 3,600 shares to the Winfrey Dynasty Trust.
On November 20, 2023, the reporting person transferred 47,733 shares from the Winfrey Dynasty Trust to the GST Non-Exempt Winfrey Dynasty Trust UAD 11-24-20.
On September 21, 2023, the reporting person transferred 55,758 stock options to a grantor retained annuity trust. The stock options were granted on January 15, 2020 under the Charter Communications, Inc. Stock Incentive Plan. The options became fully exercisable on January 15, 2023.
On October 3, 2023, a grantor retained annuity trust transferred 53,247 stock options to the reporting person. The stock options were granted on June 17, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan (the "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 October 3, 2023, a grantor retained annuity trust transferred 80,329 stock options to the reporting person. The stock options were granted on June 17, 2016 under the 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.
/s/Jennifer A. Smith as attorney-in-fact for Christopher L. Winfrey
2023-11-21