Initial Statement of Beneficial Ownership (3)
October 21 2021 - 3:05PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Fischer Jessica M |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/19/2021
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3. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [CHTR]
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(Last)
(First)
(Middle)
C/O CHARTER COMMUNICATIONS, INC., 400 WASHINGTON BLVD. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Financial Officer / |
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(Street)
STAMFORD, CT 06902
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Class A Common Stock | 387 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | 1/15/2022 (1) | (2) | Class A Common Stock | 545.0 (1) | (2) | D | |
| Stock Options | 1/15/2022 (3) | 1/15/2029 | Class A Common Stock | 5765.0 (3) | $292.31 | D | |
| Restricted Stock Units | 1/15/2023 (4) | (2) | Class A Common Stock | 311.0 (4) | (2) | D | |
| Stock Options | 1/15/2023 (5) | 1/15/2030 | Class A Common Stock | 3289.0 (5) | $512.0575 | D | |
| Restricted Stock Units | 1/15/2024 (6) | (2) | Class A Common Stock | 255.0 (6) | (2) | D | |
| Stock Options | 1/15/2024 (7) | 1/15/2031 | Class A Common Stock | 2815.0 (7) | $625.55 | D | |
| Restricted Stock Units | 2/5/2024 (8) | (2) | Class A Common Stock | 139.0 (8) | (2) | D | |
| Stock Options | 2/5/2024 (9) | 2/5/2031 | Class A Common Stock | 4610.0 (9) | $621.71 | D | |
| Explanation of Responses: |
| (1) | Restricted Stock Units granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2022. |
| (2) | Restricted Stock Unit Grant - price and expiration date not applicable. |
| (3) | Stock Options granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (4) | Restricted Stock Units granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2023. |
| (5) | Stock Options granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2023. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
| (6) | Restricted Stock Units granted on January 15, 2021, under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2024. |
| (7) | Stock Options granted on January 15, 2021 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2024. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement. |
| (8) | Restricted Stock Units granted on February 5, 2021, under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, February 5, 2024. |
| (9) | Stock Options granted on February 5, 2021 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, February 5, 2024. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Fischer Jessica M
C/O CHARTER COMMUNICATIONS, INC.
400 WASHINGTON BLVD.
STAMFORD, CT 06902 |
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| Chief Financial Officer |
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Signatures
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| /s/Thomas E. Proost as attorney-in-fact for Jessica M. Fischer | | 10/21/2021 |
| **Signature of Reporting Person | Date |
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