Filing Details
- Accession Number:
- 0001091667-20-000204
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-05 16:38:51
- Reporting Period:
- 2020-11-03
- Accepted Time:
- 2020-11-05 16:38:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1091667 | Charter Communications Inc. | CHTR | Cable & Other Pay Television Services (4841) | 841496755 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1504089 | L Christopher Winfrey | C/O Charter Communications, Inc. 400 Atlantic Street Stamford CT 06901 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2020-09-16 | 6,265 | $0.00 | 85,388 | No | 5 | J | Direct | |
| Class A Common Stock | Acquisiton | 2020-09-16 | 6,265 | $0.00 | 7,210 | No | 5 | J | Indirect | Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 |
| Class A Common Stock | Disposition | 2020-11-03 | 6,265 | $594.99 | 945 | No | 4 | S | Indirect | Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 |
| Class A Common Stock | Disposition | 2020-11-03 | 58,254 | $595.89 | 27,134 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-03 | 6,452 | $0.00 | 20,674 | No | 5 | G | Indirect | Shares held by Atalaya Management, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | J | Direct | |
| No | 5 | J | Indirect | Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 |
| No | 4 | S | Indirect | Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001 |
| No | 4 | S | Direct | |
| No | 5 | G | Indirect | Shares held by Atalaya Management, LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Options | Disposition | 2020-10-19 | 66,308 | $0.00 | 66,308 | $221.25 |
| Class A Common Stock | Stock Options | Acquisiton | 2020-10-19 | 66,308 | $0.00 | 66,308 | $221.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 165,770 | 2026-06-17 | No | 5 | J | Direct | |
| 66,308 | 2026-06-17 | No | 5 | J | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 34,908 | Indirect | Shares held by Winfrey Dynasty Trust |
| Class A Common Stock | 34,909 | Indirect | Shares held by Yeniley L Winfrey Irrevocable Trust |
| Class A Common Stock | 57,583 | Indirect | Shares held by Christopher L. Winfrey 2018 GRAT II |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Options | $221.25 | 2026-06-17 | 165,770 | 165,770 | Indirect | |
| Class A Common Stock | Stock Options | $221.25 | 2026-06-17 | 99,461 | 99,461 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-06-17 | 165,770 | 165,770 | Indirect |
| 2026-06-17 | 99,461 | 99,461 | Indirect |
Footnotes
- 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.
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