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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 | 07/08/2013 | A | 10,000 | 07/08/2014(1) | (2) | Class A Common Stock | 10,000 | $ 0 | 10,000 | D | ||||
Time Vesting Stock Options | $ 128.5296 | 07/08/2013 | A | 15,000 | 07/08/2014(3) | 07/08/2023 | Class A Common Stock | 15,000 | $ 0 | 15,000 | D | ||||
Performance Vesting Stock Options | $ 128.5296 | 07/08/2013 | A | 25,000 | 07/08/2014(4) | 07/08/2023 | Class A Common Stock | 25,000 | $ 0 | 25,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bohigian Catherine C. C/O CHARTER COMMUNICATIONS, INC. 400 ATLANTIC STREET, 10TH FLOOR STAMFORD, CT 06901 |
EVP, Government Affairs |
/s/Jennifer Dau-Sullivan as attorney-in-fact for Catherine C. Bohigian | 07/10/2013 | |
**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 7/8/2013 under the Charter Communications, Inc. Stock Incentive Plan scheduled to vest in equal 25% increments on July 8, 2014, 2015, 2016 and 2017. |
(2) | Not Applicable |
(3) | Grant of Stock Options on 7/8/2013 under the Charter Communications, Inc. Stock Incentive Plan; 25% of the aggregate grant will vest and become exercisable on July 8, 2014, 2015, 2016, and 2017. |
(4) | Grant of Stock Options on 7/8/2013 under the Charter Communications, Inc. Stock Incentive Plan, at a $130 price threshold (average of Issuer's per share closing price on NASDAQ for any 60 consecutive trading days commencing on or after the Grant Date), 25% of which will be eligible to vest and become exercisable on July 8, 2014, 2015, 2016 and 2017. |