Christopher L. Winfrey - 15 Jul 2021 Form 4 Insider Report for CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)

Role: Chief Financial Officer
Signature: /s/Christopher L. Winfrey
Issuer symbol: CHTR
Transactions as of: 15 Jul 2021
Net transactions value: +$3,644,965
Form type: 4
Filing time: 19 Jul 2021, 16:13:29 UTC
Previous filing: 21 Jun 2021
Next filing: 21 Oct 2021
SEC: View on sec.gov

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	Other		-165,770	-100%		0	07 Jul 2021	Class A Common Stock	165,770	$221.25	Direct	F1, F2
transaction	CHTR	Stock Options	Other		+165,770			165,770	07 Jul 2021	Class A Common Stock	165,770	$221.25	Held by Christopher L. Winfrey 2021 GRAT I	F1, F2
transaction	CHTR	Stock Options	Award	$3,644,965	+5,176		$704.20	5,176	15 Jul 2021	Class A Common Stock	5,176	$704.20	Direct	F3
transaction	CHTR	Restricted Stock Units	Award		+160			160	15 Jul 2021	Class A Common Stock	160		Direct	F4, F5
holding	CHTR	Stock Options						165,770	15 Jul 2021	Class A Common Stock	165,770	$221.25	Held by Christopher L. Winfrey 2020 GRAT I	F1
holding	CHTR	Stock Options						66,308	15 Jul 2021	Class A Common Stock	66,308	$221.25	Held by Christopher L. Winfrey 2020 GRAT II	F1
holding	CHTR	Stock Options						99,461	15 Jul 2021	Class A Common Stock	99,461	$221.25	Held by Christopher L. Winfrey 2019 GRAT I	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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 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.
F2	On July 7, 2021 the reporting person transferred 165,770 stock options to the Christopher L. Winfrey 2021 GRAT 1.
F3	Stock Options granted on July 15, 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, July 15, 2024. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement. This grant reflects a top up of the previously awarded annual equity award.
F4	Restricted Stock Unit grant - price and expiration date not applicable.
F5	Restricted Stock Units granted on July 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, July 15, 2024. This grant reflects a top up of the previously awarded annual equity award.