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Brookfield Oaktree Holdings, LLC — Director's Dealing 2012
May 9, 2012
35528_dirs_2012-05-08_f6fdea9c-2001-42ec-a51c-2ee38dc9aa33.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: 2012-05-01
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 |
|---|---|---|---|---|---|---|---|
| 2012-05-01 | Class A Common Stock | A | 1479 | — | Acquired | 5724 | Indirect |
| 2012-05-01 | Class A Common Stock | A | 1479 | — | Acquired | 7203 | 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 $90,000.00 on 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.L.C. ("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 Edgar Lee valued at $90,000 on date of grant, to fully vest on anniversary date of grant.
F4: Edgar Lee is a Senior Vice President of 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 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.
F5: 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.