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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | 04/09/2012 | A | 20,000 | 04/09/2013(1) | 04/09/2022 | Class A Common Stock | 20,000 | $ 0 | 20,000 | D | ||||
Time Vesting Stock Options | $ 61.87 | 04/09/2012 | A | 33,334 | 04/09/2013(2) | 04/09/2022 | Class A Common Stock | 33,334 | $ 0 | 33,334 | D | ||||
Performance Vesting Stock Options | $ 61.87 | 04/09/2012 | A | 66,666 | 04/09/2012(3) | 04/09/2022 | Class A Common Stock | 66,666 | $ 0 | 66,666 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hargis Jonathan C/O CHARTER COMMUNICATIONS, INC. 12405 POWERSCOURT DRIVE ST. LOUIS, MO 63131 |
EVP/Chief Marketing Officer |
/s/ Jonathan Hargis | 04/10/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted Stock Units granted 04/09/2012 scheduled to vest in equal 25% increments on April 9, 2013, 2014, 2015 and 2016. |
(2) | Grant of Stock Options on 04/09/2012 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan, 25% of the aggregate grant vest at April 9, 2013, 2014, 2015 and 2016. |
(3) | Grant of Stock Options on 04/09/2012 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan, 33,333 stock options will vest upon the first occurrence of Issuer's Class A Common Stock achieving a stock price threshold of $80 per-share (average of Issuer's per share closing price on NASDAQ for any 60 consecutive trading days) and 33,333 stock options will vest upon the first occurrence of Issuer's Class A Common Stock achieving a stock price threshold of $100 per-share (average of Issuer's per share closing price on NASDAQ for any 60 consecutive trading days). |