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UNITED STATES
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OMB APPROVAL
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB Number: 3235-0101
Expires: February 28, 2014
Estimated average burden
hours per response ........... 1.00
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FORM 144
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SEC USE ONLY
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NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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DOCUMENT SEQUENCE NO.
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ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.
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CUSIP NUMBER
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1 (a) NAME OF ISSUER (Please type or print)
CHARTER COMMUNICATIONS, INC. /MO/
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(b) IRS IDENT. NO.
43-1857213
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(c) S.E.C. FILE NO.
001-33664
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WORK LOCATION
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1 (d) ADDRESS OF ISSUER
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STREET
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CITY
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STATE
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ZIP CODE
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(e) TELEPHONE NO.
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| 12405 Powersourt Drive | St. Louis | Missouri | 63131 |
area code
314
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number
965-0555
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2 (a) NAME OF PERSON FOR WHOSE
ACCOUNT THE SECURITIES ARE TO BE SOLD
Oaktree Opportunities Investments, L.P.
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(b) RELATIONSHIP TO ISSUER
10% Stockholder, Director
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(c) ADDRESS STREET
333 South Grand Avenue
28th Floor |
CITY
Los Angeles
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STATE
CA
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ZIP CODE
90071
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
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3 (a)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities To Be Sold
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Name and Address of
Each Broker Through
Whom the
Securities are to be
Offered or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Class A
Common Stock
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Jones Trading Institutional Services LLC
0197 Prospector Rd #2104B
Aspen, Co 81611
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166,000 | $12,511,420.00 | 100,784,199 | 8/9/2012 | NASDAQ |
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1.
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(a)
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Name of issuer
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3.
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(a)
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Title of the class of securities to be sold
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(b)
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Issuer’s I.R.S. Identification Number
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(b)
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Name and address of each broker through whom the securities are intended to be sold
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(c)
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Issuer’s S.E.C. file number, if any
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(c)
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Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
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(d)
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Issuer’s address, including zip code
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(d)
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Aggregate market value of the securities to be sold as of a specified date within
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(e)
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Issuer’s telephone number, including area code
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10 days prior to filing of this notice
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(e)
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Number of shares or other units of the class outstanding, or if debt securities the face
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amount thereof outstanding, as shown by the most recent report or statement published by the issuer
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2.
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(a)
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Name of person for whose account the securities are to be sold
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(f)
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Approximate date on which the securities are to be sold
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(b)
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Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
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(g)
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Name of each securities exchange, if any, on which the securities are intended to be sold
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(c)
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Such person’s address, including zip code
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Potential persons who are to 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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Title of
the Class
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Date you
Acquired
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Nature of Acquisition
Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of
Securities Acquired
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Date of
Payment
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Nature of Payment
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| Class A Common Stock | 11/30/2009 |
Oaktree Opportunities Investments, L.P. purchased shares of the Issuer’s Class A common stock pursuant to the Issuer’s joint plan of reorganization
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Issuer | 16,428,631 | 11/30/2009 | Cash |
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INSTRUCTIONS:
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If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
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TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
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Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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| Oaktree Opportunities Investments, L.P.
333 South Grand Avenue 28th Floor
Los Angeles, CA 90071
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Class A Common Stock | 5/22/2012 | 16,332 | $1,059,015.1 |
| Oaktree Opportunities Investments, L.P.
333 South Grand Avenue 28th Floor
Los Angeles, CA 90071
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Class A Common Stock | 5/22/2012 | 37,785 |
$2,444,134.1
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| Oaktree Opportunities Investments, L.P.
333 South Grand Avenue 28th Floor
Los Angeles, CA 90071
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Class A Common Stock | 5/22/2012 | 100,000 |
$6,453,000.00
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| Oaktree Opportunities Investments, L.P.
333 South Grand Avenue 28th Floor
Los Angeles, CA 90071
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Class A Common Stock | 5/23/2012 | 50,000 |
$3,181,906.00
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| Oaktree Opportunities Investments, L.P.
333 South Grand Avenue 28th Floor
Los Angeles, CA 90071
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Class A Common Stock | 5/23/2012 | 49,666 |
$3,154,364.15
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INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
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ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
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8/9/2012
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Oaktree Opportunities Investments, L.P.
By: Oaktree Fund GP, LLC
Its: General Partner
By: Oaktree Fund GP I, L.P.
Its: Managing Member
By: Emily Alexander
Title: Authorized Signatory
/s/ Emily Alexander
By: Richard Ting
Title: Authorized Signatory
/s/ Richard Ting
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DATE OF NOTICE
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(SIGNATURE)
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| The notice shall be signed by the person for whose account the securities are to be sold. At least one
copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.
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DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
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ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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