SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
DiGeronimo Richard J

(Last) (First) (Middle)
C/O CHARTER COMMUNICATIONS, INC.
400 ATLANTIC AVENUE

(Street)
STAMFORD CT 06901

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/28/2020
3. Issuer Name and Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/ [ CHTR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Product and Tech Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 4,135 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options 01/16/2021 01/16/2028 Class A Common Stock 23,620(1) 353.2046 D
Restricted Stock Units 01/16/2021 (2) Class A Common Stock 708(3) (2) D
Stock Options 01/15/2022 01/15/2029 Class A Common Stock 27,151(4) 292.31 D
Restricted Stock Units 01/15/2022 (2) Class A Common Stock 855(5) (2) D
Stock Options 08/15/2022 08/15/2029 Class A Common Stock 6,760(6) 378.67 D
Restricted Stock Units 08/15/2022 (2) Class A Common Stock 198(7) (2) D
Stock Options 01/15/2023 01/15/2030 Class A Common Stock 24,781(8) 512.0575 D
Restricted Stock Units 01/15/2023 (2) Class A Common Stock 781(9) (2) D
Explanation of Responses:
1. Stock Options granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 16, 2021. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement.
2. Restricted Stock Unit grant - price and expiration date not applicable.
3. Restricted Stock Units granted on January 16, 2018 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2021.
4. Stock Options granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement.
5. Restricted Stock Units granted on January 15, 2019 under the Charter Communications, Inc. 2009 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, January 15, 2022.
6. Stock Options granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, August 15, 2022. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement.
7. Restricted Stock Units granted on August 15, 2019 under the Charter Communications, Inc. 2019 Stock Incentive Plan; 100% of the grant will vest on the third anniversary of the grant date, August 15, 2022.
8. Stock Options granted on January 15, 2020 under the Charter Communications, Inc. 2019 Stock Incentive Plan. 100% of the grant will vest on the third anniversary date of the grant date, January 15, 2023. Such options will terminate 10 years from the date of the grant unless terminated sooner in accordance with the plan or grant agreement.
9. Restricted Stock Units granted on January 15, 2020 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, 2023.
Remarks:
/s/Richard J. DiGeronimo 05/05/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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