Richard R. Dykhouse - May 18, 2021 Form 4 Insider Report for CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)

Role
EVP/Gen Counsel/Corp Secretary
Signature
/s/Daniel J. Bollinger as attorney-in-fact for Richard R. Dykhouse
Stock symbol
CHTR
Transactions as of
May 18, 2021
Transactions value $
-$14,147,924
Form type
4
Date filed
5/20/2021, 04:59 PM
Next filing
Jun 21, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CHTR Class A Common Stock Options Exercise $2.65M +14.4K $183.87 14.4K May 18, 2021 Direct F1
transaction CHTR Class A Common Stock Tax liability -$5.97M -8.74K -60.51% $683.43 5.7K May 18, 2021 Direct F2
transaction CHTR Class A Common Stock Options Exercise $3.32M +15K +263.07% $221.25 20.7K May 18, 2021 Direct F3
transaction CHTR Class A Common Stock Tax liability -$6.53M -9.56K -46.15% $683.91 11.1K May 18, 2021 Direct F2
transaction CHTR Class A Common Stock Sale -$7.62M -11.1K -100% $683.20 0 May 18, 2021 Direct F4
holding CHTR Class A Common Stock 6.38K May 18, 2021 By Trust F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CHTR Stock Options Options Exercise $0 -14.4K -100% $0.00* 0 May 18, 2021 Class A Common Stock 14.4K $183.87 Direct F1
transaction CHTR Stock Options Options Exercise $0 -15K -9.76% $0.00 139K May 18, 2021 Class A Common Stock 15K $221.25 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Exercise of Stock Options granted on January 15, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant vested on the third anniversary of the grant date, January 15, 2019. Such options would have terminated 10 years from date of grant unless terminated sooner in accordance with the plan or grant agreement.
F2 Withholding of securities for the purpose of paying the exercise price and paying taxes.
F3 Exercise of portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 30,742 shares subject to the attainment of a $289.76 per-share hurdle (with a 10-year term); 30,743 shares subject to the attainment of a $364.97 per-share hurdle (with a 10-year term); 30,743 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term); 30,743 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term); and 30,743 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term). One third of the stock options were 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 had not vested within 6 years from the date of grant would have been cancelled.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $682.76 to $683.61, 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 By revocable trust for the benefit of the reporting person's spouse.