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Brookfield Oaktree Holdings, LLC — Director's Dealing 2011
Apr 29, 2011
35528_dirs_2011-04-28_01b3c3bf-c909-405e-b04a-56b0bad566eb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)
CIK: 0001091667
Period of Report: 2011-04-26
Reporting Person: OCM FIE, LLC (Director, 10% Owner)
Reporting Person: OAKTREE CAPITAL MANAGEMENT LP (Director, 10% Owner)
Reporting Person: Oaktree Holdings, Inc. (Director, 10% Owner)
Reporting Person: Oaktree Capital Group, LLC (Director, 10% Owner)
Reporting Person: Oaktree Capital Group Holdings, L.P. (Director, 10% Owner)
Reporting Person: Oaktree Capital Group Holdings GP, LLC (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-04-26 | Class A Common Stock | A | 585 | — | Acquired | 585 | Indirect |
| 2011-04-26 | Class A Common Stock | A | 1633 | — | Acquired | 2218 | Indirect |
| 2011-04-26 | Class A Common Stock | A | 394 | — | Acquired | 2612 | Indirect |
| 2011-04-26 | Class A Common Stock | A | 1633 | — | Acquired | 4245 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 2536 | Direct |
Footnotes
F1: Grant of Restricted Stock (price not applicable) to Bruce Karsh valued at $32,219.18 on date of grant as pro-rated from
December 1, 2010 to date of grant, to fully vest on anniversary date of grant.
F2: Bruce Karsh is the President of Oaktree Capital Management, L.P. ("Oaktree"), a registered investment adviser under the
Investment Advisers Act of 1940, as amended. These shares of Class A Common Stock are held directly by Bruce Karsh for the
benefit of OCM FIE, L.P. ("FIE"), a wholly owned subsidiary of Oaktree. Pursuant to the policies of Oaktree, Bruce Karsh
must hold these shares of Class A Common Stock on behalf of and for the sole benefit of FIE and is assigning all economic,
pecuniary and voting rights to FIE.
F3: Grant of Restricted Stock (price not applicable) to Bruce Karsh valued at $90,000 on date of grant, to fully vest on
anniversary date of grant.
F4: Grant of Restricted Stock (price not applicable) to Edgar Lee valued at $21,698.82 on date of grant as pro-rated from
December 1, 2010 to date of grant, to fully vest on anniversary date of grant.
F5: Edgar Lee is a Senior Vice President of Oaktree. These shares of Class A Common Stock are held directly by Edgar Lee for the
benefit of FIE. Pursuant to the policies of Oaktree, Edgar Lee must hold these shares of Class A Common Stock on behalf of
and for the sole benefit of FIE and is assigning all economic, pecuniary and voting rights to FIE.
F6: Grant of Restricted Stock (price not applicable) to Edgar Lee valued at $90,000 on date of grant, to fully vest on
anniversary date of grant.
F7: Represents shares of Class A Common Stock that were previously held directly by Bruce Karsh for the benefit of FIE. Such
shares have since been transferred to FIE.