Christopher L. Winfrey - 22 Feb 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
Issuer symbol: CHTR
Transactions as of: 22 Feb 2023
Net transactions value: $0
Form type: 4
Filing time: 24 Feb 2023, 15:12:01 UTC
Previous filing: 19 Jan 2023
Next filing: 21 Nov 2023
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	$0	-180,000	-60%	$0.000000	119,681	28 Jan 2023	Class A Common Stock	180,000	$221.25	Direct	F1
transaction	CHTR	Stock Options	Other	$0	+180,000	+91%	$0.000000	377,628	28 Jan 2023	Class A Common Stock	377,628	$221.25	Held by GRAT	F1
transaction	CHTR	Stock Options	Other	$0	-64,052	-17%	$0.000000	313,576	28 Jan 2023	Class A Common Stock	64,052	$221.25	Held by GRAT	F2
transaction	CHTR	Stock Options	Other	$0	+64,052	+54%	$0.000000	183,733	28 Jan 2023	Class A Common Stock	64,052	$221.25	Direct	F2
transaction	CHTR	Stock Options	Award	$0	+531,840		$0.000000	531,840	22 Feb 2023	Class A Common Stock	531,840	$380.53	Direct	F3
transaction	CHTR	Restricted Stock Units	Award	$0	+59,093		$0.000000	59,093	22 Feb 2023	Class A Common Stock	59,093		Direct	F4, F5

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

Explanation of Responses:

Id	Content
F1	On January 28, 2023, the reporting person transferred 180,000 stock options to a grantor retained annuity trust. The stock options were 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.
F2	On January 28, 2023, the reporting person transferred 64,052 stock options from a grantor retained annuity trust to his personal account. The stock options were 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.
F3	Stock options granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan (with a 10-year term) as follows: 106,368 shares subject to the attainment of a $564.00 per-share hurdle; 106,368 shares subject to the attainment of a $639.00 per-share hurdle; 106,368 shares subject to the attainment of $798.00 per-share hurdle; 106,368 shares subject to the attainment of a $870.00 per-share hurdle; 53,184 shares subject to the attainment of a $988.00 per-share hurdle; and 53,184 shares subject to the attainment of a $1,000.00 per-share hurdle. One third of the stock options are 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	Restricted Stock Unit Grant - price and expiration date not applicable.
F5	Restricted Stock Units granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 19,697 shares subject to the attainment of a $798.00 per-share hurdle; 19,698 shares subject to the attainment of a $870.00 per-share hurdle; 9,849 shares subject to the attainment of a $988.00 per-share hurdle; and 9,849 shares subject to the attainment of $1,000.00 per-share hurdle. One third of the Restricted Stock Units are 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.