Christopher L. Winfrey - Jan 17, 2023 Form 4 Insider Report for CHARTER COMMUNICATIONS, INC. /MO/ (CHTR)

Role
President and CEO
Signature
/s/Jennifer A. Smith as attorney-in-fact for Christopher L. Winfrey
Stock symbol
CHTR
Transactions as of
Jan 17, 2023
Transactions value $
-$352,393
Form type
4
Date filed
1/19/2023, 03:18 PM
Previous filing
Sep 26, 2022
Next filing
Feb 24, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CHTR Class A Common Stock Options Exercise +1.76K +3.57% 51K Jan 17, 2023 Direct F1, F2
transaction CHTR Class A Common Stock Tax liability -$352K -911 -1.79% $386.82 50.1K Jan 17, 2023 Direct F3
holding CHTR Class A Common Stock 82.5K Jan 17, 2023 Shares held by Winfrey Dynasty Trust
holding CHTR Class A Common Stock 34.9K Jan 17, 2023 Shares held by Yeniley L Winfrey Irrevocable Trust
holding CHTR Class A Common Stock 945 Jan 17, 2023 Shares held by Yeniley Lorenzo Winfrey Rev Tr U/A DTD 07/27/2001
holding CHTR Class A Common Stock 20.7K Jan 17, 2023 Shares held by Atalaya Management, LLC

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 $0 -50.5K -100% $0.00* 0 Jan 5, 2023 Class A Common Stock 50.5K $221.25 Held by Christopher L. Winfrey 2020 GRAT II F4
transaction CHTR Stock Options Other $0 +50.5K +20.28% $0.00 300K Jan 5, 2023 Class A Common Stock 50.5K $221.25 Direct F4
transaction CHTR Restricted Stock Units Options Exercise $0 -1.76K -100% $0.00* 0 Jan 17, 2023 Class A Common Stock 1.76K Direct F1, F2
transaction CHTR Stock Options Award $0 +125K $0.00 125K Jan 17, 2023 Class A Common Stock 125K $387.38 Direct F5
holding CHTR Stock Options 53.2K Jan 17, 2023 Class A Common Stock 53.2K $221.25 Held by Christopher L. Winfrey 2020 GRAT I F6
holding CHTR Stock Options 80.3K Jan 17, 2023 Class A Common Stock 80.3K $221.25 Held by Christopher L. Winfrey 2021 GRAT I F6
holding CHTR Stock Options 64.1K Jan 17, 2023 Class A Common Stock 64.1K $221.25 Held by Christopher L. Winfrey 2019 GRAT I F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted Stock Units granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant vested on the third anniversary of the grant date, with an effective date of January 17, 2023.
F2 Restricted Stock Unit grant - price and expiration date not applicable
F3 Withholding of securities for the purpose of paying taxes.
F4 On January 5, 2023 the Christopher L. Winfrey 2020 GRAT II transferred 50,536 stock options to the reporting person. The stock options were granted June 17, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan (with a 10-year term) as follows: 99,461 shares subject to the attainment of a $289.76 per-share hurdle; 99,462 shares subject to the attainment of a $364.97 per-share hurdle; 99,462 shares subject to the attainment of $455.66 per-share hurdle; 99,462 shares subject to the attainment of a $496.58 per-share hurdle; and 99,462 shares subject to the attainment of a $564.04 per-share hurdle. 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. All options were fully exercisable as of June 17, 2021.
F5 Stock Options granted on January 17, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 17, 2026. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
F6 Stock options granted on June 17, 2016 under the Charter Communications, Inc. 2009 Stock Incentive Plan (with a 10-year term) as follows: 99,461 shares subject to the attainment of a $289.76 per-share hurdle; 99,462 shares subject to the attainment of a $364.97 per-share hurdle; 99,462 shares subject to the attainment of $455.66 per-share hurdle; 99,462 shares subject to the attainment of a $496.58 per-share hurdle; and 99,462 shares subject to the attainment of a $564.04 per-share hurdle. 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. All options were fully exercisable as of June 17, 2021.