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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 33.72 | 02/15/2018 | A | 24,889 | (3) | 02/15/2028 | Common Stock | 24,889 | $ 0 | 24,889 | D | ||||
Restricted Stock Units | (4) | 02/15/2018 | A | 5,338 | (5) | (5) | Common Stock | 5,338 | $ 0 | 5,338 | D | ||||
Restricted Stock Units | (4) | 02/16/2018 | M | 1,619 | (6) | (6) | Common Stock | 1,619 | $ 0 | 3,245 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MacLean Theodore C/O IRON MOUNTAIN INCORPORATED ONE FEDERAL STREET BOSTON, MA 02110 |
EVP, Adjacent Businesses |
/s/ Elizabeth Tammaro, under Power of Attorney dated May 26, 2016, from Theodore MacLean | 02/20/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | This transaction was effected pursuant to a 10b5-1 trading plan which was approved and became effective as of September 7, 2017. |
(2) | This acquisition is reported to reflect the partial vesting of restricted stock units ("RSUs") previously granted to the Reporting Person on February 16, 2017. |
(3) | This stock option becomes exercisable in three substantially equal annual installments beginning on the first anniversary of the grant date. |
(4) | Each RSU represents a contingent right to receive one share of Iron Mountain Incorporated common stock ("Common Stock"). |
(5) | The RSUs vest in three substantially equal annual installments beginning on the first anniversary of the grant date. |
(6) | The RSUs, representing a contingent right to receive a total of 4,864 shares of Common Stock, were granted to the Reporting Person on February 16, 2017 and vest in three substantially equal annual installments beginning on the first anniversary of the grant date. |