UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: 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 | ||||
Class B Common Units of Charter Holdings Communications, Inc | 05/18/2016(1) | Â (1) | Charter Communications Class A Common Stock | 30,995,834 (2) | $ (2) | I | See Footnote (1) |
Convertible Preferred Units of Charter Holdings Communicatio | 05/18/2016(1) | Â (1) | Charter Communications Class A Common Stock | 9,333,500 (3) | $ 267.85 (3) | I | See Footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ADVANCE/NEWHOUSE PARTNERSHIP 5823 WIDEWATERS PARKWAY EAST SYRACUSE, NY 13057 |
 |  X |  |  |
NEWHOUSE BROADCASTING CORP 5823 WIDEWATERS PARKWAY E. SYRACUSE, NY 13057 |
 |  X |  |  |
ADVANCE PUBLICATIONS, INC 950 FINGERBOARD ROAD STATEN ISLAND, NY 10305 |
 |  X |  |  |
NEWHOUSE FAMILY HOLDINGS, L.P. ONE WORLD TRADE CENTER NEW YORK, NY 10007 |
 |  X |  |  |
ADVANCE LONG-TERM MANAGEMENT TRUST C/O ROBINSON MILLER LLC ONE NEWARK CENTER, 19TH FLOOR NEWARK, NJ 07102 |
 |  X |  |  |
/s/ Michael A. Newhouse, Vice President, Advance/Newhouse Partnership | 05/27/2016 | |
**Signature of Reporting Person | Date | |
/s/ Michael A. Newhouse, Co-President, Advance Publications, Inc. | 05/27/2016 | |
**Signature of Reporting Person | Date | |
/s/ Michael A. Newhouse, Trustee, Advance Long-Term Management Trust | 05/27/2016 | |
**Signature of Reporting Person | Date | |
/s/ Michael A. Newhouse, Executive Vice President, Newhouse Broadcasting Corporation | 05/27/2016 | |
**Signature of Reporting Person | Date | |
/s/ Michael A. Newhouse, Trustee, Advance Long-Term Management Trust, the General Partner of Newhouse Family Holdings L.P. | 05/27/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Advance Newhouse Partnership, a New York Partnership ("A/N"), acquired the Class B Common Units (the "Class B Common Units") and the Convertible Preferred Units the ("Convertible Preferred Units") of Charter Holdings Communications, Inc. ("Charter Holdings") disclosed on this Form 3 on May 18, 2016. A/N is entitled to voting rights with respect to the Class B Common Units and the Convertible Preferred Units through ownership of one share of Class B Common Stock, par value $0.001, of the Issuer. |
(2) | Upon exchange by A/N, the 30,995,834 Class B Common Units owned by A/N will be exchangeable, at the Issuer's option, into either (i) shares of Class A Common Stock on a one-for-one basis or (ii) cash based on the volume-weighted average price of the Class A Common Stock for the two consecutive trading days immediately prior to the date of delivery of an exchange notice by A/N. |
(3) | Each of the 25,000,000 Convertible Preferred Units with face amount of $100 is convertible, in the hands of A/N and its affiliates, into 0.37334 of a Class B Common Unit and, in the hands of any other person, into 0.37334 of a share of Class A Common Stock, representing a conversion price of $267.85, subject to customary anti-dilution adjustments. |
 Remarks: Each of Newhouse Broadcasting Corporation ("NBCo"), Advance Publications, Inc. ("API"), Newhouse Family Holdings, L.P. ("NFH") and Advance Long-Term Management Trust ("Advance Long-Term Trust") may be deemed to beneficially own the Convertible Preferred Units and Class B Common Units held by A/N due to their control of A/N.  NBCo is the indirect majority owner of A/N.  API indirectly holds a 38.76% interest in A/N.  NFH is included as a reporting person solely because it holds 100% of the common shares of API, which have the power to elect the board of directors of API.  Advance Long-Term Trust is included as a Reporting Person solely because it is the sole general partner of NFH. |