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