- Statement of Changes in Beneficial Ownership (4)
29 April 2011 - 10:54AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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February 28, 2011
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
OCM FIE, LLC
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2. Issuer Name
and
Ticker or Trading Symbol
CHARTER COMMUNICATIONS, INC. /MO/
[
CHTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
333 SOUTH GRAND AVENUE, 28TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/26/2011
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(Street)
LOS ANGELES, CA 90071
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock
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4/26/2011
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A
(1)
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585
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A
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$0
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585
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I
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See footnote
(2)
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Class A Common Stock
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4/26/2011
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A
(3)
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1633
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A
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$0
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2218
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I
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See footnote
(2)
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Class A Common Stock
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4/26/2011
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A
(4)
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394
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A
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$0
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2612
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I
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See footnote
(5)
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Class A Common Stock
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4/26/2011
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A
(6)
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1633
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A
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$0
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4245
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I
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See footnote
(5)
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Class A Common Stock
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2536
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D
(7)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Grant of Restricted Stock (price not applicable) to Bruce Karsh valued at $32,219.18 on date of grant as pro-rated from
December 1, 2010 to date of grant, to fully vest on anniversary date of grant.
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(
2)
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Bruce Karsh is the President of Oaktree Capital Management, L.P. ("Oaktree"), a registered investment adviser under the
Investment Advisers Act of 1940, as amended. These shares of Class A Common Stock are held directly by Bruce Karsh for the
benefit of OCM FIE, L.P. ("FIE"), a wholly owned subsidiary of Oaktree. Pursuant to the policies of Oaktree, Bruce Karsh
must hold these shares of Class A Common Stock on behalf of and for the sole benefit of FIE and is assigning all economic,
pecuniary and voting rights to FIE.
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(
3)
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Grant of Restricted Stock (price not applicable) to Bruce Karsh valued at $90,000 on date of grant, to fully vest on
anniversary date of grant.
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(
4)
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Grant of Restricted Stock (price not applicable) to Edgar Lee valued at $21,698.82 on date of grant as pro-rated from
December 1, 2010 to date of grant, to fully vest on anniversary date of grant.
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(
5)
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Edgar Lee is a Senior Vice President of Oaktree. These shares of Class A Common Stock are held directly by Edgar Lee for the
benefit of FIE. Pursuant to the policies of Oaktree, Edgar Lee must hold these shares of Class A Common Stock on behalf of
and for the sole benefit of FIE and is assigning all economic, pecuniary and voting rights to FIE.
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(
6)
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Grant of Restricted Stock (price not applicable) to Edgar Lee valued at $90,000 on date of grant, to fully vest on
anniversary date of grant.
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(
7)
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Represents shares of Class A Common Stock that were previously held directly by Bruce Karsh for the benefit of FIE. Such
shares have since been transferred to FIE.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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OCM FIE, LLC
333 SOUTH GRAND AVENUE
28TH FLOOR
LOS ANGELES, CA 90071
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X
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X
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OAKTREE CAPITAL MANAGEMENT LP
333 S GRAND AVE 28TH FL
LOS ANGELES, CA 90071
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X
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X
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Oaktree Holdings, Inc.
333 SOUTH GRAND AVENUE
28TH FLOOR
LOS ANGELES, CA 90071
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X
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X
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Oaktree Capital Group, LLC
333 SOUTH GRAND AVENUE
28TH FLOOR
LOS ANGELES, CA 90071
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X
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X
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Oaktree Capital Group Holdings, L.P.
333 SOUTH GRAND AVENUE
28TH FLOOR
LOS ANGELES, CA 90071
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X
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X
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Oaktree Capital Group Holdings GP, LLC
333 SOUTH GRAND AVENUE
28TH FLOOR
LOS ANGELES, CA 90071
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X
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X
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Signatures
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See signatures included in Exhibit 99.1
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4/28/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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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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.
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