Sec Form 4 Filing - Bickham John @ CHARTER COMMUNICATIONS, INC. /MO/ - 2020-07-31

Insider filing report for Changes in Beneficial Ownership
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FORM 4
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
Bickham John
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)
President and COO
(Last) (First) (Middle)
C/O CHARTER COMMUNICATIONS, INC., 400 ATLANTIC STREET
3. Date of Earliest Transaction (MM/DD/YY)
07/31/2020
(Street)
STAMFORD, CT06901
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 07/31/2020 M 156,728 ( 1 ) ( 2 ) A $ 221.248 156,728 I By The Bickham Family 2016 Irrevocable Trust
Class A Common Stock 07/31/2020 S 156,728 ( 1 ) D $ 580.2289 ( 3 ) 0 I By The Bickham Family 2016 Irrevocable Trust
Class A Common Stock 07/31/2020 M 156,728 ( 1 ) ( 2 ) A $ 221.248 187,858 ( 4 ) D
Class A Common Stock 07/31/2020 F 78,125 ( 5 ) D $ 590 109,733 ( 4 ) D
Class A Common Stock 07/31/2020 F 26,145 ( 5 ) D $ 582.35 83,588 ( 4 ) D
Class A Common Stock 07/31/2020 M 72,336 ( 1 ) ( 6 ) A $ 242.3025 155,924 ( 4 ) D
Class A Common Stock 07/31/2020 F 24,732 ( 5 ) D $ 590 131,192 ( 4 ) D
Class A Common Stock 07/31/2020 F 18,581 ( 5 ) D $ 586.795 112,611 ( 4 ) D
Class A Common Stock 07/31/2020 F 6,216 ( 5 ) D $ 580.37 106,395 ( 4 ) D
Class A Common Stock 07/31/2020 S 75,265 ( 1 ) D $ 571.7479 ( 7 ) 31,130 ( 4 ) 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 $ 221.248 07/31/2020 M 156,728 ( 2 ) 06/17/2026 Class A Common Stock 156,728 $ 0 195,910 I By The Bickham Family 2016 Irrevocable Trust
Stock Options $ 221.248 07/31/2020 M 156,728 ( 2 ) 06/17/2026 Class A Common Stock 156,728 $ 0 78,364 D
Stock Options $ 242.3025 07/31/2020 M 72,336 ( 6 ) 07/25/2026 Class A Common Stock 72,336 $ 0 63,294 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Bickham John
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC STREET
STAMFORD, CT06901
President and COO
Signatures
/s/Daniel J. Bollinger as attorney-in-fact for John Bickham 08/04/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Executed pursuant to a 10b5-1 plan.
( 2 )Exercise of a portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 117,546 shares subject to the attainment of a $289.76 per-share hurdle (with a 10-year term); 117,546 shares subject to the attainment of a $364.97 per-share hurdle (with a 10-year term); 117,546 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term); 117,546 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term); and 117,546 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term). One third of the stock options will be 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.
( 3 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $575.00 to $588.33, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
( 4 )Includes shares held jointly with Kathy L. Bickham.
( 5 )Withholding of securities for the purpose of paying the exercise price and paying taxes.
( 6 )Exercise of portion of stock options granted on July 25, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 27,126 shares subject to the attainment of a $289.76 per-share hurdle (with a 10-year term); 27,126 shares subject to the attainment of a $364.97 per-share hurdle (with a 10-year term); 27,126 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term); 27,126 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term); and 27,126 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term). One third of the stock options will be 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.
( 7 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $554.26 to $592.475, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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