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

Sep 4, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)
CIK: 0001091667
Period of Report: 2020-09-02

Reporting Person: Winfrey Christopher L (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-02	Class A Common Stock	M	12279	$620.34	Acquired	97667	Direct
2020-09-02	Class A Common Stock	F	6014	$620.34	Disposed	91653	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-30	Stock Options	$221.248	J	165770	Disposed	2026-06-17	Class A Common Stock (165770.0)	Direct
2020-07-30	Stock Options	$221.248	J	165770	Acquired	2026-06-17	Class A Common Stock (165770.0)	Indirect
2020-09-02	Restricted Stock Units	$	M	12279	Disposed	2022-06-17	Class A Common Stock (12279.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	27126	Indirect
Class A Common Stock	34908	Indirect
Class A Common Stock	34909	Indirect
Class A Common Stock	945	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 (99461.0)	99461	Indirect

Footnotes

F1: Vesting of a portion of Restricted Stock Units granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan; 18,419 shares subject to the attainment of a $455.66 per-share hurdle; 18,419 shares subject to the attainment of a $496.58 per-share hurdle; and 18,419 shares subject to the attainment of a $564.04 per-share hurdle (each with a six-year term). One third of the Restricted Stock Units 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 Restricted Stock Units that have not vested within 6 years from the date of grant will be cancelled.

F2: Withholding of securities for the purpose of paying taxes.

F3: Stock options granted on June 17, 2016 under the Charter Communications, 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.

F4: On July 30, 2020 the reporting person transferred 165,770 stock options to the Christopher L. Winfrey 2020 GRAT I.

F5: Restricted Stock Units convert into common stock on a one-for-one basis.