As filed pursuant to Rule 424(b)(3)
Registration Statement File No. 333-121561
PROSPECTUS SUPPLEMENT NO. 9
DATED FEBRUARY 13, 2006
Charter Communications, Inc.
This document supplements the Prospectus, dated July 19, 2005, Prospectus Supplement No. 1, dated August 9, 2005, Prospectus Supplement No. 2, dated August 30, 2005, Prospectus Supplement No. 3, dated September 15, 2005, Prospectus Supplement No. 4, dated September 23, 2005, Prospectus Supplement No. 5, dated October 18, 2005, Prospectus Supplement No. 6, dated November 10, 2005, Prospectus Supplement No. 7 dated December 14, 2005 and Prospectus Supplement No. 8 dated January 30, 2006 (collectively, the "Prospectus"), relating to the resale by certain holders of up to $862,500,000 aggregate principal amount of Charter Communications, Inc.’s 5.875% convertible senior notes due 2009 (the "Notes") and shares of common stock issuable upon conversion thereof.
This Prospectus Supplement relates to the resale by the holders of the Notes.
The Prospectus is hereby amended by the information contained in the attached Current Report on Form 8-K filed on February 1, 2006. In addition, the information appearing in the Selling Securityholder table included in this Prospectus Supplement, as of the date hereof, supersedes the information in the table appearing under the heading "Selling Securityholders" in the Prospectus.
If the information in this Prospectus Supplement is inconsistent with any information contained in the Prospectus or in the reports, proxy statements or other documents previously filed with the Securities and Exchange Commission (collectively, the "SEC Reports") incorporated by reference in the Prospectus or delivered in connection therewith, the Prospectus and/or any SEC Report, as applicable, shall be deemed superseded by this Supplement.
In all other ways, the Prospectus shall remain unchanged.
This Prospectus Supplement should be read in conjunction with, and may not be delivered or utilized without, the Prospectus.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
Current Report
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 26, 2006
Charter Communications, Inc.
(Exact name of registrant as specified in its charter)
Delaware
(State or Other Jurisdiction of Incorporation or Organization)
000-27927 | 43-1857213 | |
(Commission File Number) | (I.R.S. Employer Identification Number) |
12405 Powerscourt Drive
St. Louis, Missouri 63131
(Address of principal executive offices including zip code)
(314) 965-0555
(Registrant's telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
ITEM 2.03 CREATION OF A DIRECT FINANCIAL OBLIGATION OR AN OBLIGATION OF REGISTRANT.
On January 26, 2006, CCH II, LLC and CCH II Capital Corp. (together, the "Issuers"), indirect subsidiaries of Charter Communications, Inc., entered into a purchase agreement (the "Agreement") with J. P. Morgan Securities Inc., Credit Suisse Securities (USA) LLC and Deutsche Bank Securities Inc. as representatives of several purchasers. In the Agreement, the Issuers agreed to issue and sell, in a private transaction under Rule 144A and Regulation S, $450 million in principal amount of 10.25% Senior Notes due 2010 (the "Notes"). In the Agreement, the Issuers agreed to issue the Notes with the benefit of a Registration Rights Agreement and under a Supplemental Indenture, each with terms substantially similar to the terms of the Issuers' existing 10.25% senior notes. The Notes will bear interest at 10.25% per annum, payable on March 15 and September 15 of each year, will mature on September 15, 2010 and are redeemable at the Issuers' option on or after September 15, 2008 at various redemption prices beginning at 105.25% in September 2008 and declining to par in September 2009. In addition, from the proceeds of certain equity offerings, we may redeem up to 35% of the Notes at 110.25% of their principal amount. The purchase of the Notes closed on January 30, 2006.
The Issuers intend to use the foregoing net proceeds to repay, but not permanently reduce, the outstanding debt balances under the existing revolving credit facility of our subsidiary, Charter Communications Operating, LLC.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
The following exhibit is filed pursuant to Item 2.03:
| 10.1 | Purchase Agreement dated January 26, 2006 (Incorporated by reference to Exhibit 10.3 to the current report on Form 8-K of Charter Communications, Inc. filed on January 27, 2006 (File No. 000-27927)). |
The information appearing in the table below, as of the date hereof, supersedes the information in the table appearing under the heading "Selling Securityholders" in the Prospectus:
Shares of Class A | |||||||||||||
Convertible Senior Notes | Common Stock | ||||||||||||
Shares of | |||||||||||||
Class A | |||||||||||||
Principal | Common | ||||||||||||
Amount of | Amount of | Stock | |||||||||||
Notes Owned | Notes That | Owned | Shares That | ||||||||||
Selling Securityholder | Before Offering | May Be Sold | Before Offering | May Be Sold | |||||||||
| ADAR Investment Fund LTD | $ | 22,145,000 | $ | 22,145,000 | 9,150,825 | 9,150,825 | |||||||
| AG Offshore Convertibles, Ltd. | $ | 30,500,000 | $ | 30,500,000 | 12,603,304 | 12,603,304 | |||||||
| AHFP Context | $ | 300,000 | $ | 300,000 | 123,966 | 123,966 | |||||||
| Akanthos Arbitrage Master Fund, LP | $ | 16,000,000 | $ | 16,000,000 | 6,611,569 | 6,611,569 | |||||||
| Argent Classic Convertible Arbitrage Fund L.P. | $ | 2,590,000 | $ | 2,590,000 | 1,070,247 | 1,070,247 | |||||||
| Argent Classic Convertible Arbitrage Fund II, L.P. | $ | 350,000 | $ | 350,000 | 144,625 | 144,628 | |||||||
| Argent Classic Convertible Arbitrage Fund (Bermuda) Ltd. | $ | 7,670,000 | $ | 7,670,000 | 3,169,421 | 3,169,421 | |||||||
| Argent Opportunities Fund LLC | $ | 150,000 | $ | 150,000 | 61,983 | 61,983 | |||||||
| Banc of America Securities LLC (1) | $ | 350,000 | $ | 350,000 | 144,628 | 144,628 | |||||||
| Basso Fund Ltd. | $ | 2,392,000 | $ | 2,392,000 | 988,429 | 988,429 | |||||||
| Basso Holdings Ltd. | $ | 5,290,000 | $ | 5,290,000 | 2,185,950 | 2,185,950 | |||||||
| Basso Multi-Strategy Holding Fund Ltd. | $ | 11,290,000 | $ | 11,290,000 | 4,665,288 | 4,665,288 | |||||||
| BBT Fund, L.P. | $ | 3,000,000 | $ | 3,000,000 | 1,239,669 | 1,239,669 | |||||||
| Bear, Stearns & Co., Inc. (1) | $ | 1,000,000 | $ | 1,000,000 | 413,223 | 413,223 | |||||||
| Canyon Balanced Equity Master Fund, Ltd. | $ | 375,000 | $ | 375,000 | 154,958 | 154,958 | |||||||
| Canyon Value Realization Fund L.P. | $ | 760,000 | $ | 760,000 | 314,049 | 314,049 | |||||||
| Canyon Value Realization MAC 18, Ltd. | $ | 35,000 | $ | 35,000 | 14,462 | 14,462 | |||||||
| CC Convertible Arbitrage, Ltd. | $ | 4,950,000 | $ | 4,950,000 | 2,045,454 | 2,045,454 | |||||||
| Citadel Equity Fund Ltd. | $ | 10,000,000 | $ | 10,000,000 | 4,132,231 | 4,132,231 | |||||||
| Citigroup Global Markets, Inc.(1) | $ | 23,751,000 | $ | 23,751,000 | 9,814,461 | 9,814,461 | |||||||
| Citigroup Global Markets Ltd.(1) | $ | 141,387,000 | $ | 141,387,000 | 58,424,374 | 58,424,374 | |||||||
| CNH CA Master Account, L.P. | $ | 1,500,000 | $ | 1,500,000 | 619,834 | 619,834 | |||||||
| Concentrated Alpha Partners, L.P. | $ | 1,050,000 | $ | 1,050,000 | 433,884 | 433,884 | |||||||
| Context Convertible Arbitrage Fund, LP | $ | 1,725,000 | $ | 1,725,000 | 712,809 | 712,809 | |||||||
| Context Convertible Arbitrage Offshore, Ltd. | $ | 5,400,000 | $ | 5,400,000 | 2,231,404 | 2,231,404 | |||||||
| Corporate High Yield III, Inc. | $ | 945,000 | $ | 945,000 | 390,495 | 390,495 | |||||||
| Corporate High Yield V, Inc. | $ | 1,555,000 | $ | 1,555,000 | 642,561 | 642,561 | |||||||
| Corporate High Yield VI, Inc. | $ | 1,625,000 | $ | 1,625,000 | 671,487 | 671,487 | |||||||
| Corporate High Yield Fund, Inc. | $ | 875,000 | $ | 875,000 | 361,570 | 361,570 | |||||||
| Credit Suisse First Boston Europe LTD (1) | $ | 25,000,000 | $ | 25,000,000 | 10,330,577 | 10,330,577 | |||||||
| Credit Suisse First Boston LLC (1) | $ | 3,000,000 | $ | 3,000,000 | 1,239,669 | 1,239,669 | |||||||
| CRT Capital Group LLC | $ | 7,300,000 | $ | 7,300,000 | 3,016,528 | 3,016,528 | |||||||
| CSS, LLC | $ | 1,500,000 | $ | 1,500,000 | 619,834 | 619,834 | |||||||
| DBAG London | $ | 13,600,000 | $ | 13,600,000 | 5,619,834 | 5,619,834 | |||||||
| D.E. Shaw Investment Group, L.L.C. | $ | 400,000 | $ | 400,000 | 165,289 | 165,289 | |||||||
| D.E. Shaw Valence Portfolios, L.L.C. | $ | 3,100,000 | $ | 3,100,000 | 1,280,991 | 1,280,991 | |||||||
| Deephaven Domestic Convertible Trading Ltd. | $ | 4,650,000 | $ | 4,650,000 | 1,921,487 | 1,921,487 | |||||||
| Delaware Delchester Fund | $ | 1,080,000 | $ | 1,080,000 | 446,280 | 446,280 | |||||||
| Delaware Diversified Income Fund | $ | 415,000 | $ | 415,000 | 171,487 | 171,487 | |||||||
| Delaware Dividend Income Fund | $ | 500,000 | $ | 500,000 | 206,611 | 206,611 | |||||||
| Delaware Group Equity Funds I-Delaware Balanced Fund Series | $ | 10,000 | $ | 10,000 | 4,132 | 4,132 | |||||||
| Delaware High-Yield Opportunities Fund | $ | 290,000 | $ | 290,000 | 119,834 | 119,834 | |||||||
| Delaware VIP Diversified Income Series | $ | 45,000 | $ | 45,000 | 18,595 | 18,595 | |||||||
| Delaware VIP High Yield Series | $ | 655,000 | $ | 655,000 | 270,661 | 270,661 | |||||||
| Deutsche Bank Securities Inc. (1) | $ | 4,584,000 | $ | 4,584,000 | 1,894,214 | 1,894,214 | |||||||
| Dividend & Income Fund | $ | 165,000 | $ | 165,000 | 68,181 | 68,181 | |||||||
| DKR Saturn Multi-Strategy Holding Fund Ltd. | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Duma Master Fund, L.P. | $ | 1,000,000 | $ | 1,000,000 | 413,223 | 413,223 | |||||||
| Edge Investment Master Fund, LTD | $ | 3,500 | $ | 3,500 | 1,446 | 1,446 | |||||||
| Empyrean Capital Fund, LP | $ | 4,315,000 | $ | 4,315,000 | 1,783,057 | 1,783,057 | |||||||
| Empyrean Capital Overseas Benefit Plan Fund, Ltd | $ | 831,900 | $ | 831,900 | 343,760 | 343,760 | |||||||
| Empyrean Capital Overseas Fund, Ltd | $ | 7,353,100 | $ | 7,353,100 | 3,038,470 | 3,038,470 | |||||||
| Eton Park Fund, L.P. | $ | 1,872,000 | $ | 1,872,000 | 773,553 | 773,553 | |||||||
| Eton Park Master Fund, Ltd. | $ | 2,928,000 | $ | 2,928,000 | 1,209,917 | 1,209,917 | |||||||
| Fidelity Advisor Series II: Fidelity Advisor High Income Advantage Fund (2) | $ | 22,580,000 | $ | 22,580,000 | 9,330,578 | 9,330,578 | |||||||
| Fidelity Financial Trust: Fidelity Convertible Securities Fund (2) | $ | 11,300,000 | $ | 11,300,000 | 4,669,421 | 4,669,421 | |||||||
| Fidelity Financial Trust: Fidelity Strategic Dividend & Income Fund (2) | $ | 700,000 | $ | 700,000 | 289,256 | 289,256 | |||||||
| Fidelity Management Trust Company on behalf of funds and accounts managed by it (3) | $ | 7,420,000 | $ | 7,420,000 | 3,066,115 | 3,066,115 | |||||||
| Finch Tactical Plus Class B | $ | 200,000 | $ | 200,000 | 82,644 | 82,644 | |||||||
| Fore Convertible Master Fund, Ltd. | $ | 1,500,000 | $ | 1,500,000 | 619,834 | 619,834 | |||||||
| Fore ERISA Fund, Ltd. | $ | 179,000 | $ | 179,000 | 73,966 | 73,966 | |||||||
| Fore Multi Strategy Master Fund, Ltd. | $ | 350,000 | $ | 350,000 | 144,628 | 144,628 | |||||||
| Fore Opportunity Fund, LP | $ | 69,000 | $ | 69,000 | 28,512 | 28,512 | |||||||
| Fore Opportunity Offshore Fund, Ltd | $ | 231,000 | $ | 231,000 | 95,454 | 95,454 | |||||||
| Geode U.S. Convertible Arbitrage Fund, aggregated account of Geode Capital Master Fund Ltd. | $ | 3,000,000 | $ | 3,000,000 | 1,239,669 | 1,239,669 | |||||||
| Global Dividend & Income Fund | $ | 40,000 | $ | 40,000 | 16,528 | 16,528 | |||||||
| Goldman Sachs & Co. (1) | $ | 47,313,000 | $ | 47,313,000 | 19,550,824 | 19,550,824 | |||||||
| Grace Brothers, Ltd. | $ | 1,500,000 | $ | 1,500,000 | 619,834 | 619,834 | |||||||
| Greywolf Capital Overseas Fund | $ | 6,475,000 | $ | 6,475,000 | 2,675,619 | 2,675,619 | |||||||
| Greywolf Capital Partners II LP | $ | 1,525,000 | $ | 1,525,000 | 630,165 | 630,165 | |||||||
| Greywolf High Yield Master Fund | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Guggenheim Portfolio Company VIII (Cayman), Ltd. | $ | 1,138,000 | $ | 1,138,000 | 470,247 | 470,247 | |||||||
| HFR RVA Combined Master Trust | $ | 125,000 | $ | 125,000 | 51,652 | 51,652 | |||||||
| Highbridge International LLC | $ | 36,520,000 | $ | 36,520,000 | 15,090,907 | 15,090,907 | |||||||
| Institutional Benchmarks Master Fund, Ltd. | $ | 35,000 | $ | 35,000 | 14,462 | 14,462 | |||||||
| Kamunting Street Master Fund, LTD | $ | 22,500,000 | $ | 22,500,000 | 9,297,519 | 9,297,519 | |||||||
| KBC Financial Products USA Inc. | $ | 4,885,000 | $ | 4,885,000 | 2,018,594 | 2,018,594 | |||||||
| KDC Convertible Arbfund L.P. | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Laurel Ridge Capital, LP | $ | 5,000,000 | $ | 5,000,000 | 2,066,115 | 2,066,115 | |||||||
| LDG Limited | $ | 322,000 | $ | 322,000 | 133,057 | 133,057 | |||||||
| Lehman Brothers International Europe | $ | 8,410,000 | $ | 8,410,000 | 3,475,206 | 3,475,206 | |||||||
| Lincoln National Life Insurance Company Separate Account 20 | $ | 590,000 | $ | 590,000 | 243,801 | 243,801 | |||||||
| Lyxor/ Context Fund Ltd. | $ | 1,075,000 | $ | 1,075,000 | 444,214 | 444,214 | |||||||
| Man Mac I, Limited | $ | 3,391,000 | $ | 3,391,000 | 1,401,239 | 1,401,239 | |||||||
| Marathon Global Convertible Master Fund Ltd. | $ | 1,500,000 | $ | 1,500,000 | 619,834 | 619,834 | |||||||
| Merced Partners Limited Partnership | $ | 2,500,000 | $ | 2,500,000 | 1,033,057 | 1,033,057 | |||||||
| Merrill Lynch Bond High Income Fund (1) | $ | 9,000,000 | $ | 9,000,000 | 3,719,007 | 3,719,007 | |||||||
| Merrill Lynch Global Investment Series: Income Strategies Fund (1) | $ | 5,000,000 | $ | 5,000,000 | 2,066,115 | 2,066,115 | |||||||
| MLIF US High Yield Fund, Inc. (1) | $ | 500,000 | $ | 500,000 | 206,611 | 206,611 | |||||||
| ML Master US High Yield Fund, Inc. (1) | $ | 2,200,000 | $ | 2,200,000 | 909,090 | 909,090 | |||||||
| Mohican VCA Master Fund, Ltd. | $ | 500,000 | $ | 500,000 | 206,611 | 206,611 | |||||||
| Morgan Stanley Convertible Securities Trust | $ | 800,000 | $ | 800,000 | 330,578 | 330,578 | |||||||
| MSS Convertible Arbitrage 1 c/o TQA Investors, LLC | $ | 31,000 | $ | 31,000 | 12,809 | 12,809 | |||||||
| National Bank of Canada | $ | 700,000 | $ | 700,000 | 289,256 | 289,256 | |||||||
| Oppenheimer Convertible Securities Fund | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Optimum Fixed Income Fund | $ | 65,000 | $ | 65,000 | 26,859 | 26,859 | |||||||
| PIMCO Convertible Fund | $ | 275,000 | $ | 275,000 | 113,636 | 113,636 | |||||||
| President and Fellows of Harvard College | $ | 350,000 | $ | 350,000 | 144,628 | 144,628 | |||||||
| PSEG Master Employee Benefit Plan Trust | $ | 200,000 | $ | 200,000 | 82,644 | 82,644 | |||||||
| Putnam Convertible Income-Growth Trust | $ | 8,425,000 | $ | 8,425,000 | 3,481,404 | 3,481,404 | |||||||
| Putnam High Income Bond Fund | $ | 2,075,000 | $ | 2,075,000 | 857,437 | 857,437 | |||||||
| Quattro Fund Ltd. | $ | 1,250,000 | $ | 1,250,000 | 516,528 | 516,528 | |||||||
| Raytheon Savings & Investment Plan Trust | $ | 150,000 | $ | 150,000 | 61,983 | 61,983 | |||||||
| Regiment Capital, Ltd. | $ | 650,000 | $ | 650,000 | 268,595 | 268,595 | |||||||
| Ritchie Capital Structure Arbitrage Trading, Ltd. | $ | 12,000,000 | $ | 12,000,000 | 4,958,677 | 4,958,677 | |||||||
| Royal Bank of Canada (Norshield) (1) | $ | 100,000 | $ | 100,000 | 41,322 | 41,322 | |||||||
| Royal Bank of Ontario | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Salomon Brothers Asset Management, Inc. (1) | $ | 9,350,000 | $ | 9,350,000 | 3,863,635 | 3,863,635 | |||||||
| Saranac Capital Management L.P. on behalf of Citigroup Alternative Investments Diversified Arbitrage Strategies Fund Ltd. | $ | 357,000 | $ | 357,000 | 147,520 | 147,520 | |||||||
| Saranac Capital Management L.P. on behalf of Citigroup Alternative Investments Enhanced Arbitrage Strategies Fund | $ | 65,000 | $ | 65,000 | 26,859 | 26,859 | |||||||
| Saranac Capital Management L.P. on behalf of Citigroup Alternative Investments QIP Multi Strategy Arbitrage Portfolio | $ | 1,692,000 | $ | 1,692,000 | 699,173 | 699,173 | |||||||
| Saranac Capital Management L.P. on behalf of Saranac Erisa Arbitrage LTD | $ | 698,000 | $ | 698,000 | 288,429 | 288,429 | |||||||
| Saranac Capital Management L.P. on behalf of Saranac Erisa Arbitrage LP | $ | 48,000 | $ | 48,000 | 19,834 | 19,834 | |||||||
| Saranac Capital Management L.P. on behalf of Saranac Arbitrage LTD | $ | 40,000 | $ | 40,000 | 16,528 | 16,528 | |||||||
| Satellite Asset Management, L.P. | $ | 12,300,000 | $ | 12,300,000 | 5,082,644 | 5,082,644 | |||||||
| Severn River Master Fund, Ltd. | $ | 8,000,000 | $ | 8,000,000 | 3,305,784 | 3,305,784 | |||||||
| Sphinx Convertible Arbitrage Fund SPC | $ | 350,000 | $ | 350,000 | 144,628 | 144,628 | |||||||
| Sphinx Fund c/o TQA Investors, LLC | $ | 496,000 | $ | 496,000 | 204,958 | 204,958 | |||||||
| Sphinx Special Situations Fund SPC | $ | 35,000 | $ | 35,000 | 14,462 | 14,462 | |||||||
| SRI Fund, L.P. | $ | 180,000 | $ | 180,000 | 74,380 | 74,380 | |||||||
| St. Albans Partners Ltd. | $ | 1,000,000 | $ | 1,000,000 | 413,223 | 413,223 | |||||||
| Sturgeon Limited | $ | 71,000 | $ | 71,000 | 29,338 | 29,338 | |||||||
| Susquehanna Capital Group | $ | 6,980,000 | $ | 6,980,000 | 2,884,297 | 2,884,297 | |||||||
| SuttonBrook Capital Portfolio LP | $ | 12,500,000 | $ | 12,500,000 | 5,165,288 | 5,165,288 | |||||||
| Tamarack International, Ltd. | $ | 2,500,000 | $ | 2,500,000 | 1,033,057 | 1,033,057 | |||||||
| Tempo Master Fund, LP | $ | 2,000,000 | $ | 2,000,000 | 826,446 | 826,446 | |||||||
| Tenor Opportunity Master Fund Ltd. | $ | 4,200,000 | $ | 4,200,000 | 1,735,537 | 1,735,537 | |||||||
| The Canyon Value Realization Fund (Cayman) Ltd. | $ | 2,260,000 | $ | 2,260,000 | 933,884 | 933,884 | |||||||
| The High-Yield Bond Portfolio | $ | 15,000 | $ | 15,000 | 6,198 | 6,198 | |||||||
| TQA Master Fund, Ltd. | $ | 2,836,000 | $ | 2,836,000 | 1,171,900 | 1,171,900 | |||||||
| TQA Master Plus Fund, Ltd. | $ | 4,551,000 | $ | 4,551,000 | 1,880,578 | 1,880,578 | |||||||
| Tribeca Global Convertible Investments LTD | $ | 12,000,000 | $ | 12,000,000 | 4,958,677 | 4,958,677 | |||||||
| UBS AG London Branch | $ | 45,500,000 | $ | 45,500,000 | 18,801,651 | 18,801,651 | |||||||
| UBS AG London F/ B/ O HFS | $ | 5,000,000 | $ | 5,000,000 | 2,066,115 | 2,066,115 | |||||||
| UBS O’Connor LLC F/B/O O’Connor Global Convertible Arbitrage Master Limited | $ | 6,000,000 | $ | 6,000,000 | 2,479,338 | 2,479,338 | |||||||
| Univest Convertible Arbitrage Fund II Ltd. (Norshield) | $ | 100,000 | $ | 100,000 | 41,322 | 41,322 | |||||||
| Van Kampen Harbor Fund | $ | 1,200,000 | $ | 1,200,000 | 495,867 | 495,867 | |||||||
| Whitebox Convertible Arbitrage Partners, L.P. | $ | 3,000,000 | $ | 3,000,000 | 1,239,669 | 1,239,669 | |||||||
| Whitebox Hedged High Yield Partners, L.P. | $ | 1,000,000 | $ | 1,000,000 | 413,223 | 413,223 | |||||||
| White River Securities LLC | $ | 1,000,000 | $ | 1,000,000 | 413,223 | 413,223 | |||||||
| Wolverine Convertible Arbitrage Fund Limited | $ | 250,000 | $ | 250,000 | 103,305 | 103,305 | |||||||
| World Income Fund, Inc. | $ | 800,000 | $ | 800,000 | 330,578 | 330,578 | |||||||
| Yield Strategies Fund I, L.P. | $ | 500,000 | $ | 500,000 | 206,611 | 206,611 | |||||||
| Yield Strategies Fund II, L.P. | $ | 500,000 | $ | 500,000 | 206,611 | 206,611 | |||||||
| Zurich Institutional Benchmarks Master Fund Ltd. c/o TQA Investors, LLC | $ | 696,000 | $ | 696,000 | 287,603 | 287,603 | |||||||
(1) These entities and/or their affiliates have provided, and may from time to time provide, investment banking services to Charter Communications, Inc. and its subsidiaries, including, among other things, acting as lead and/or co-manager with respect to offerings of debt and equity securities.
(2) The entity is a registered investment fund (the "Fund") advised by Fidelity Management & Research Company ("FMR Co."), a registered investment adviser under the Investment Advisers Act of 1940, as amended. FMR Co., 82 Devonshire Street, Boston, Massachusetts 02109, a wholly-owned subsidiary of FMR Corp. and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, is the beneficial owner of 14,961,471 shares (not including the shares into which the notes are convertible) of the Common Stock outstanding of the Company as a result of acting as investment adviser to various investment companies registered under Section 8 of the Investment Company Act of 1940.
Edward C. Johnson 3d, FMR Corp., through its control of FMR Co., and the Fund each has sole power to dispose of the Securities owned by the Fund.
Neither FMR Corp. nor Edward C. Johnson 3d, Chairman of FMR Corp., has the sole power to vote or direct the voting of the shares owned directly by the Fund, which power resides with the Fund’s Board of Trustees.
The Fund is an affiliate of a broker-dealer. The Fund purchased the Securities in the ordinary course of business and, at the time of the purchase of the Securities to be resold, the Fund did not have any agreements or understandings, directly or indirectly, with any person to distribute the notes or conversion shares.
(3) Shares indicated as owned by such entity are owned directly by various private investment accounts, primarily employee benefit plans for which Fidelity Management Trust Company ("FMTC") serves as trustee or managing agent. FMTC is a wholly-owned subsidiary of FMR Corp. and a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934, as amended. FMTC is the beneficial owner of 0 shares (not including the shares into which the notes are convertible) of the Common Stock outstanding of the Company as a result of its serving as investment manager of the institutional account(s).
Edward C. Johnson 3d and FMR Corp., through its control of Fidelity Management Trust Company, each has sole dispositive power over 0 shares and sole power to vote or to direct the voting of 0 shares of Common Stock owned by the institutional account(s) as reported above.
If, after the date of this prospectus, a secuityholder notifies us pursuant to the registration rights agreement of its intent to dispose of convertible senior notes pursuant to the registration statement, we may supplement this prospectus to include that information.