Sec Form 3 Filing - Ray Richard Adam @ CHARTER COMMUNICATIONS, INC. /MO/ - 2023-04-24

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Ray Richard Adam
2. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [ CHTR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP, Chief Commercial Officer
(Last) (First) (Middle)
400 WASHINGTON BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
04/24/2023
(Street)
STAMFORD, CT06902
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 510 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options $ 353.2046 01/16/2021 01/16/2028 Class A Common Stock 5,015 ( 1 ) D
Stock Options $ 292.31 01/15/2022 01/15/2029 Class A Common Stock 5,765 ( 2 ) D
Stock Options $ 512.0575 01/15/2023 01/15/2030 Class A Common Stock 3,289 ( 3 ) D
Stock Options $ 515.615 07/01/2023 07/01/2030 Class A Common Stock 3,802 ( 4 ) D
Restricted Stock Units ( 5 ) 07/01/2023 ( 5 ) Class A Common Stock 108 ( 6 ) D
Stock Options $ 625.55 01/15/2024 01/15/2031 Class A Common Stock 9,280 ( 7 ) D
Restricted Stock Units ( 5 ) 01/15/2024 ( 5 ) Class A Common Stock 280 ( 8 ) D
Stock Options $ 702.13 06/23/2024 06/23/2031 Class A Common Stock 2,570 ( 9 ) D
Restricted Stock Units ( 5 ) 06/23/2024 ( 5 ) Class A Common Stock 80 ( 10 ) D
Stock Options $ 588.825 01/18/2025 01/18/2032 Class A Common Stock 12,905 ( 11 ) D
Restricted Stock Units ( 5 ) 01/18/2025 ( 5 ) Class A Common Stock 425 ( 12 ) D
Stock Options $ 581.1869 01/19/2025 01/19/2032 Class A Common Stock 2,602 ( 13 ) D
Restricted Stock Units ( 5 ) 01/19/2025 ( 5 ) Class A Common Stock 86 ( 14 ) D
Stock Options $ 387.375 01/17/2026 01/17/2033 Class A Common Stock 19,841 ( 15 ) D
Restricted Stock Units ( 5 ) 01/17/2026 ( 5 ) Class A Common Stock 774 ( 16 ) D
Stock Options $ 380.53 ( 17 ) 02/22/2033 Class A Common Stock 93,299 ( 17 ) D
Restricted Stock Units ( 5 ) ( 18 ) ( 5 ) Class A Common Stock 10,366 ( 18 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Ray Richard Adam
400 WASHINGTON BLVD.
STAMFORD, CT06902
EVP, Chief Commercial Officer
Signatures
/s/Richard Adam Ray 04/27/2023
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Stock Options granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant vested on the third anniversary of the grant date, January 16, 2021. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 2 )Stock Options granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant vested on the third anniversary of the grant date, January 15, 2022. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 3 )Stock Options 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, January 15, 2023. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 4 )Stock Options granted on July 1, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary of the grant date, July 1, 2023. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 5 )Restricted Stock Unit grant - price and expiration date not applicable.
( 6 )Restricted Stock Units granted on July 1, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, July 1, 2023.
( 7 )Stock Options granted on January 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, January 15, 2024. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 8 )Restricted Stock Units granted on January 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, January 15, 2024.
( 9 )Stock Options granted on June 23, 2021 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, June 23, 2024. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 10 )Restricted Stock Units granted on June 23, 2021 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, June 23, 2024.
( 11 )Stock Options granted on January 18, 2022 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 18, 2025. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 12 )Restricted Stock Units granted on January 18, 2022 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 18, 2025.
( 13 )Stock Options granted on January 19, 2022 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 19, 2025. Such options will terminate 10 years from the date of grant unless terminated sooner in accordance with the plan or grant agreement.
( 14 )Restricted Stock Units granted on January 19, 2022 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 19, 2025.
( 15 )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.
( 16 )Restricted Stock Units 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.
( 17 )Stock options granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan (with a 10-year term) as follows: 18,659 shares subject to the attainment of a $507.00 per-share hurdle; 18,660 shares subject to the attainment of a $639.00 per-share hurdle; 18,660 shares subject to the attainment of $798.00 per-share hurdle; 18,660 shares subject to the attainment of a $870.00 per-share hurdle; 9,330 shares subject to the attainment of a $988.00 per-share hurdle; and 9,330 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.
( 18 )Restricted Stock Units granted on February 22, 2023 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 3,455 shares subject to the attainment of a $798.00 per-share hurdle; 3,455 shares subject to the attainment of a $870.00 per-share hurdle; 1,728 shares subject to the attainment of a $988.00 per-share hurdle and 1,728 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.

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