-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QBzG8DDYmKFCqkPwfISCqepMxgkym6yOcH84+VtHBHVVXJ39zVcUXqRbWC19EKBH CY97yMOMTlDIG8yZnzLcLA== 0000906344-09-000156.txt : 20090204 0000906344-09-000156.hdr.sgml : 20090204 20090204151526 ACCESSION NUMBER: 0000906344-09-000156 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090204 DATE AS OF CHANGE: 20090204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KLEIN BRIAN KATZ CENTRAL INDEX KEY: 0001327722 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: (206) 689-2450 MAIL ADDRESS: STREET 1: 1301 FIRST AVENUE, SUITE 201 CITY: SEATTLE STATE: WA ZIP: 98101 SUBJECT COMPANY: 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: 0807 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57191 FILM NUMBER: 09568129 BUSINESS ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE STREET 2: SUITE 100 CITY: ST LOUIS STATE: MO ZIP: 63131 BUSINESS PHONE: 3145435712 MAIL ADDRESS: STREET 1: 12405 POWERSCOURT DRIVE STREET 2: SUITE 100 CITY: ST LOUIS STATE: MO ZIP: 63131 SC 13G/A 1 chartercommunications_13g-a6.htm SCHEDULE 13G-A6 (02-04-09) chartercommunications_13g-a6.htm - Generated by SEC Publisher for SEC Filing

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 6)*

Charter Communications, Inc.
(Name of Issuer)

Class A Common Stock, par value $.001 per share
(Title of Class of Securities)

16117M107
(CUSIP Number)

December 31, 2008
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 ý Rule 13d-1(b)

 ¨ Rule 13d-1(c)

 ¨ Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

1


(1)   Names of Reporting Persons.  STEELHEAD NAVIGATOR MASTER, L.P. 
          (a) £ 
(2)   Check the Appropriate Box if a Member of a Group (See Instructions)    (b) £ 
 
(3)   SEC Use Only         
 
(4)   Citizenship or Place of Organization    Bermuda 
 
NUMBER OF  (5)  Sole Voting Power    21,376,125 
SHARES         
BENEFICIALLY  (6)  Shared Voting Power    0 
OWNED BY EACH         
REPORTING  (7)  Sole Dispositive Power    21,376,125 
PERSON WITH         
    (8)  Shared Dispositive Power    0 
 
(9)     Aggregate Amount Beneficially Owned by Each Reporting Person    21,376,125 
 
(10)     Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨ 
 
(11)     Percent of Class Represented by Amount in Row (9)    4.9% 
 
(12)     Type of Reporting Person (See Instructions)    PN 

2


(1)   Names of Reporting Persons.  STEELHEAD PARTNERS, LLC 
        (a) £ 
(2)   Check the Appropriate Box if a Member of a Group (See Instructions)  (b) £ 
 
(3)   SEC Use Only       
 
(4)   Citizenship or Place of Organization  Delaware 
 
NUMBER OF  (5)  Sole Voting Power  21,592,045 
SHARES       
BENEFICIALLY  (6)  Shared Voting Power  0 
OWNED BY EACH       
REPORTING  (7)  Sole Dispositive Power  21,592,045 
PERSON WITH       
    (8)  Shared Dispositive Power  0 
 
(9)     Aggregate Amount Beneficially Owned by Each Reporting Person  21,592,045 
 
(10)     Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨ 
 
(11)     Percent of Class Represented by Amount in Row (9)  4.9% 
 
(12)     Type of Reporting Person (See Instructions)  IA 

3


(1)   Names of Reporting Persons.  JAMES MICHAEL JOHNSTON 
        (a) £ 
(2)   Check the Appropriate Box if a Member of a Group (See Instructions)  (b) £ 
 
(3)   SEC Use Only       
 
(4)   Citizenship or Place of Organization  United States 
 
NUMBER OF  (5)  Sole Voting Power  0 
SHARES       
BENEFICIALLY  (6)  Shared Voting Power  21,592,045 
OWNED BY EACH       
REPORTING  (7)  Sole Dispositive Power  0 
PERSON WITH       
    (8)  Shared Dispositive Power  21,592,045 
 
(9)     Aggregate Amount Beneficially Owned by Each Reporting Person  21,592,045 
 
(10)     Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨ 
 
(11)     Percent of Class Represented by Amount in Row (9)  4.9% 
 
(12)     Type of Reporting Person (See Instructions)  IN/HC 

4


(1)   Names of Reporting Persons.  BRIAN KATZ KLEIN 
        (a) £ 
(2)   Check the Appropriate Box if a Member of a Group (See Instructions)  (b) £ 
 
(3)   SEC Use Only       
 
(4)   Citizenship or Place of Organization  United States 
 
NUMBER OF  (5)  Sole Voting Power  0 
SHARES       
BENEFICIALLY  (6)  Shared Voting Power  21,592,045 
OWNED BY EACH       
REPORTING  (7)  Sole Dispositive Power  0 
PERSON WITH       
    (8)  Shared Dispositive Power  21,592,045 
 
(9)     Aggregate Amount Beneficially Owned by Each Reporting Person  21,592,045 
 
(10)     Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  ¨ 
 
(11)     Percent of Class Represented by Amount in Row (9)  4.9% 
 
(12)     Type of Reporting Person (See Instructions)  IN/HC 

5


Item 1(a). Name of Issuer:

                  Charter Communications, Inc.

Item 1(b). Address of Issuer’s Principal Executive Offices:

                  12405 Powerscourt Drive
                  St. Louis, MO 63131

Item 2(a). Names of Persons Filing:

                  Steelhead Navigator Master, L.P. (“Navigator”)
                  Steelhead Partners, LLC (“Steelhead”)
                  James Michael Johnston
                  Brian Katz Klein

Item 2(b). Address of Principal Business Office or, if none, Residence:

                  The business address of each of Navigator, Steelhead, James Michael Johnston and Brian Katz Klein is 1301 First Avenue, Suite 201, Seattle, WA 98101.

Item 2(c). Citizenship:

                  Reference is made to Item 4 of pages 2–5 of this Schedule 13G (this “Schedule”), which Items are incorporated by reference herein.

Item 2(d). Title of Class of Securities:

                  Class A Common Stock, par value $0.001 per share

Item 2(e). CUSIP Number:

                  16117M107

Item 3.      If this statement is filed pursuant to §§240.13d -1(b) or 240.13d -2(b) or (c), check whether the person filing is a:

¨ (a)   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). 
¨ (b)   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). 
¨ (c)   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). 
¨ (d)   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). 
ý (e)   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); 
¨ (f)  An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); 
ý (g)   A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); 
¨ (h)   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); 
¨ (i)  A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); 
   
¨ (j)  Group, in accordance with §240.13d-1(b)(1)(ii)(J). 

6


Item 4.      Ownership.

               Reference is hereby made to Items 5-9 and 11 of pages 2 - 5 of this Schedule, which Items are incorporated by reference herein.

Item 5.      Ownership of Five Percent or Less of a Class

               If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following      .

Item 6.      Ownership of More than Five Percent on Behalf of Another Person.

               Not Applicable.

Item 7.      Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

               Not Applicable.

Item 8.      Identification and Classification of Members of the Group

               Not Applicable.

Item 9.      Notice of Dissolution of Group

               Not Applicable.

Item 10.     Certification

               By signing below the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

7


Signature

     After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: February 4, 2009

STEELHEAD PARTNERS, LLC 

 

  By: /s/ James Michael Johnston 
         James Michael Johnston 
 

       Its Member-Manager 

 

 

JAMES MICHAEL JOHNSTON

 

  /s/ James Michael Johnston 
 

James Michael Johnston 

 

 

BRIAN KATZ KLEIN

 

  /s/ Brian Katz Klein 
  Brian Katz Klein 

     By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

Signature

     After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: February 4, 2009  STEELHEAD NAVIGATOR MASTER, L.P. 
  By: Steelhead Partners, LLC, its Investment Manager 
 
 
  By: /s/ James Michael Johnston 
         James Michael Johnston 
         Its Member Manager 

EXHIBIT INDEX

Exhibit A  Joint Filing Undertaking  Page 9 

8


 

EXHIBIT A

JOINT FILING UNDERTAKING

     The undersigned, being authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it may be amended, jointly on behalf of each of such parties.

Dated: February 4, 2009  STEELHEAD PARTNERS, LLC 
 
 
  By: /s/ James Michael Johnston 
         James Michael Johnston 
         Its Member-Manager 
 
 
  STEELHEAD NAVIGATOR MASTER, L.P. 
  By: Steelhead Partners, LLC, its Investment Manager 
 
 
  By: /s/ James Michael Johnston 
  James Michael Johnston 
  Its Member Manager 
 
 
  JAMES MICHAEL JOHNSTON 
 
 
  /s/ James Michael Johnston 
  James Michael Johnston 
 
  BRIAN KATZ KLEIN 
 
 
  /s/ Brian Katz Klein 
  Brian Katz Klein 

 

9



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