Form 4 for CHTR Charter Communications
Accepted 2021-09-07 00:00:00 ET · period of report 2021-09-02 · accession 0001091667-21-000140 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | S - Sale+OE | $824.30 | -9,032 | 31.1K | -22% | -$7.45M |
| DI | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | M - OptEx | $221.25 | +200 | 200 | New | +$44.2K |
| DI | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | S - Sale+OE | $825.15 | -200 | 0 | -100% | -$165.0K |
| D | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | M - OptEx | $221.25 | +23.0K | 54.1K | +74% | +$5.09M |
| D | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | F - Tax | $825.16 | -14.0K | 40.2K | -26% | -$11.53M |
| DI | 2021-09-07 | 2021-09-03 | CHTR | Bickham John | Pres, COO | M - OptEx | $0.00 | -200 | 195.7K | -0.1% | $0 |
| D | 2021-09-07 | 2021-09-02 | CHTR | Bickham John | Pres, COO | M - OptEx | $0.00 | -23.0K | 55.4K | -29% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-09-02 | S | D | 9,032 | $824.30 | 31,130 | D | — | — | (F4) Shares sold pursuant to a 10b5-1 plan. (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $823.250 to $824.84, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. (F2) Includes shares held jointly with Kathy L. Bickham. |
| 2 | Common | Class A Common Stock | 2021-09-02 | M | A | 200 | $221.25 | 200 | I | — | — | (F1) Exercise of portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 117,546 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term) ("Tranche III Options"); 117,546 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term) ("Tranche IV Options"); and 117,546 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term) ("Tranche V Options"). One third of the stock options were first eligible to vest on each of the third, fourth and fifth anniversaries of the date of grant subject to achievement of the applicable per-share price hurdles. Any options that had not vested within 6 years from the date of grant would have been cancelled. |
| 3 | Common | Class A Common Stock | 2021-09-02 | S | D | 200 | $825.15 | 0 | I | — | — | (F4) Shares sold pursuant to a 10b5-1 plan. (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $825.14 to $825.15, inclusive. The reporting person undertakes to provide Charter Communications, Inc., any security holder of Charter Communications, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| 4 | Common | Class A Common Stock | 2021-09-02 | M | A | 23,000 | $221.25 | 54,130 | D By The Bickham Family 2016 Irrevocable Trust | — | — | (F1) Exercise of portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 117,546 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term) ("Tranche III Options"); 117,546 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term) ("Tranche IV Options"); and 117,546 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term) ("Tranche V Options"). One third of the stock options were first eligible to vest on each of the third, fourth and fifth anniversaries of the date of grant subject to achievement of the applicable per-share price hurdles. Any options that had not vested within 6 years from the date of grant would have been cancelled. (F2) Includes shares held jointly with Kathy L. Bickham. |
| 5 | Common | Class A Common Stock | 2021-09-02 | F | D | 13,968 | $825.16 | 40,162 | D By The Bickham Family 2016 Irrevocable Trust | — | — | (F3) Withholding of securities for the purpose of paying the exercise price and paying taxes. (F2) Includes shares held jointly with Kathy L. Bickham. |
| 6 | Derivative | Stock Options | 2021-09-03 | M | D | 200 | $0.00 | 195,710 | I | $221.25 · — to 2026-06-17 | 200 Class A Common Stock | (F1) Exercise of portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 117,546 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term) ("Tranche III Options"); 117,546 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term) ("Tranche IV Options"); and 117,546 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term) ("Tranche V Options"). One third of the stock options were first eligible to vest on each of the third, fourth and fifth anniversaries of the date of grant subject to achievement of the applicable per-share price hurdles. Any options that had not vested within 6 years from the date of grant would have been cancelled. |
| 7 | Derivative | Stock Options | 2021-09-02 | M | D | 23,000 | $0.00 | 55,364 | D By The Bickham Family 2016 Irrevocable Trust | $221.25 · — to 2026-06-17 | 23,000 Class A Common Stock | (F1) Exercise of portion of stock options granted on June 17, 2016 under the Charter Communications, Inc. Amended and Restated 2009 Stock Incentive Plan: 117,546 shares subject to the attainment of $455.66 per-share hurdle (with a 10-year term) ("Tranche III Options"); 117,546 shares subject to the attainment of a $496.58 per-share hurdle (with a 10-year term) ("Tranche IV Options"); and 117,546 shares subject to the attainment of a $564.04 per-share hurdle (with a 10-year term) ("Tranche V Options"). One third of the stock options were first eligible to vest on each of the third, fourth and fifth anniversaries of the date of grant subject to achievement of the applicable per-share price hurdles. Any options that had not vested within 6 years from the date of grant would have been cancelled. |