| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 27, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.2M | +65.8K | +2.14% | $807.86 | 3.14M | Aug 27, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 27, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.2M | +65.8K | +2.14% | $807.86 | 3.14M | Aug 27, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 30, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.5M | +65.8K | +2.14% | $812.36 | 3.14M | Aug 30, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 30, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.5M | +65.8K | +2.14% | $812.36 | 3.14M | Aug 30, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 31, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.8M | +65.8K | +2.14% | $816.93 | 3.14M | Aug 31, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Exercise of in-the-money or at-the-money derivative security | -$24.4M | -65.8K | -2.1% | $371.52 | 3.07M | Aug 31, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Common Stock | Other | $53.7M | +65.8K | +2.14% | $816.93 | 3.14M | Aug 31, 2021 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct | ||||||
| holding | CHTR | Common Stock | 2.82K | Aug 27, 2021 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -33.33% | $0.00 | 132K | Aug 27, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -33.33% | $0.00 | 132K | Aug 27, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -33.34% | $0.00 | 132K | Aug 27, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -33.34% | $0.00 | 132K | Aug 27, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -50% | $0.00 | 65.8K | Aug 30, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -50% | $0.00 | 65.8K | Aug 30, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -50% | $0.00 | 65.8K | Aug 30, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -50% | $0.00 | 65.8K | Aug 30, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -100% | $0.00* | 0 | Aug 31, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -100% | $0.00* | 0 | Aug 31, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Call option (obligation to sell) | Exercise of in-the-money or at-the-money derivative security | $0 | -65.8K | -100% | $0.00* | 0 | Aug 31, 2021 | Common Stock | 65.8K | $371.52 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| transaction | CHTR | Put option (right to sell) | Other | $0 | -65.8K | -100% | $0.00* | 0 | Aug 31, 2021 | Common Stock | 65.8K | $247.49 | Indirect Interest in a Partnership | F1, F2, F3, F4, F5 |
| Id | Content |
|---|---|
| F1 | As previously disclosed, on August 6, 2018, Advance/Newhouse Partnership ("A/N") established a credit facility backed by an equity collar transaction and an aggregate of 6,000,000 Class B Common Units of Charter Communications Holdings, LLC ("Units") to provide financial flexibility to support its ongoing estate planning and its investment program and for other general corporate purposes. A/N entered into Share Collar Transactions (the "Transactions") with unaffiliated banks (each, a "Bank"), under which A/N wrote European call options and purchased European put options over an aggregate of 6,000,000 shares of Class A common stock (the "Common Stock") of Charter Communications, Inc. (the "Issuer"), half of which were scheduled to expire in 2021 and half of which were scheduled to expire in 2023. A portion of the 2021 Transactions was previously unwound and the remaining 2021 Transactions expire evenly over a series of expiration dates from August 16 to August 31, 2021, inclusive. |
| F2 | Pursuant to the Transaction with the relevant Bank, on the transaction date listed above, the Bank's call option was automatically exercised with respect to the portion of the Transaction expiring on such date, and, because the relevant Transaction is cash settled, in lieu of delivering Common Stock to the Bank, A/N paid to the Bank, for each share of Common Stock underlying such call options, the excess of the volume weighted average price of the Common Stock on the relevant transaction date over the strike price of $371.5202 with respect to such call option. On the same date, the related put option with respect to an equal number of shares of Common Stock expired unexercised. |
| F3 | The settlement of the Transactions occurred pursuant to the formulas set forth in the Transaction agreements at the time they were entered into, and the reported sales of the Common Stock in connection therewith are deemed exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-6(b) thereunder. |
| F4 | The Reporting Person disclaims beneficial ownership of the Common Stock and Units owned by A/N and the put and call Options listed in Table 2 and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such Common Stock, Units or options for purposes of Section 16 or for any other purpose. |
| F5 | The Reporting Person, by virtue of his affiliations with Advance Long-Term Management Trust, a New Jersey trust ("ALTMT"), Advance Publications, Inc., a New York corporation ("API") and Newhouse Broadcasting Corporation ("NBCo"), and affiliation with and interest in other non-controlling holders of equity of API and NBCo, may be deemed to beneficially own the Common Stock and Units owned directly by A/N. ALTMT is the general partner of Newhouse Family Holdings, L.P., a Delaware limited partnership, which owns all of the voting shares of API. API and NBCo indirectly own all of the partnership interests of A/N. |