CHARTER COMMUNICATIONS, INC. /MO/ — Director's Dealing 2020

Nov 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)
CIK: 0001091667
Period of Report: 2020-11-03

Reporting Person: Winfrey Christopher L (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-16	Class A Common Stock	J	6265	—	Disposed	85388	Direct
2020-09-16	Class A Common Stock	J	6265	—	Acquired	7210	Indirect
2020-11-03	Class A Common Stock	S	6265	$594.99	Disposed	945	Indirect
2020-11-03	Class A Common Stock	S	58254	$595.89	Disposed	27134	Direct
2020-11-03	Class A Common Stock	G	6452	—	Disposed	20674	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-19	Stock Options	$221.248	J	66308	Disposed	2026-06-17	Class A Common Stock (66308.0)	Direct
2020-10-19	Stock Options	$221.248	J	66308	Acquired	2026-06-17	Class A Common Stock (66308.0)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	34908	Indirect
Class A Common Stock	34909	Indirect
Class A Common Stock	57583	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Options	$221.248	2026-06-17	Class A Common Stock (165770.0)	165770	Indirect
Stock Options	$221.248	2026-06-17	Class A Common Stock (99461.0)	99461	Indirect

Footnotes

F1: On September 16, 2020 the reporting person transferred 6,265 shares to the Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001.

F2: 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.

F3: 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.

F4: 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.

F5: Charitable gift to donor advised fund.

F6: 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.

F7: On October 19, 2020 the reporting person transferred 66,308 stock options to the Christopher L. Winfrey 2020 GRAT II.