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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options | Â (2) | 10/28/2013 | Class A Common | 40,000 | $ 4.295 | D | Â |
Stock Options | Â (2) | 01/27/2014 | Class A Common | 17,500 | $ 5.17 | D | Â |
Stock Options | Â (2) | 03/25/2015 | Class A Common | 14,175 | $ 1.525 | D | Â |
Stock Options | Â (2) | 08/23/2015 | Class A Common | 2,025 | $ 1.157 | D | Â |
Stock Options | Â (2) | 03/10/2016 | Class A Common | 6,078 | $ 1 | D | Â |
Stock Options | Â (2) | 12/29/2016 | Class A Common | 16,500 | $ 3.065 | D | Â |
Stock Options | Â (2) | 03/09/2017 | Class A Common | 11,583 | $ 2.835 | D | Â |
Stock Options | Â (2) | 12/11/2017 | Class A Common | 3,750 | $ 1.315 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Apodaca Steven E. C/O CHARTER COMMUNICATIONS, INC. 12405 POWERSCOURT DRIVE ST. LOUIS, MO 63131 |
 |  |  SVP - Division President, West |  |
/s/ Steven E. Apodaca | 12/19/2008 | |
**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) | 36,630 shares of restricted stock granted 3/18/2008; and, 10,000 shares held in an IRA rollover account. |
(2) | Grant under the Charter Communications, Inc. 2001 Stock Incentive Plan, 25% of the original grant vest at the end of each of the first four years, such options terminate 10 years from date of grant unless terminated sooner in accordance with the plan or agreement. |