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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) | $ 22.0356 | 03/02/2017(1) | M | 11,347 | (4) | 03/01/2019 | Common Stock | 11,347 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 24.8037 | 03/02/2017(1) | M | 8,783 | (5) | 02/13/2024 | Common Stock | 8,783 | $ 0 | 0 | D | ||||
Restricted Stock Units | (6) | 03/31/2017 | M | 1,936 | (7) | (7) | Common Stock | 1,936 | $ 0 | 0 | D | ||||
Restricted Stock Units | (6) | 03/31/2017 | M | 8,532 | (8) | (8) | Common Stock | 8,532 | $ 0 | 8,559 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Duale Marc A THIRD FLOOR, COTTONS CENTRE, TOOLEY STREET LONDON, X0 SE1 2TT |
President, Iron Mountain Int. |
/s/ Elizabeth Tammaro, under Power of Attorney dated May 26, 2016, from Marc A. Duale | 04/03/2017 | |
**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 report is being filed late due to an administrative error by a third party broker firm that is the administrator of this transaction. |
(2) | This acquisition is reported to reflect the partial vesting of restricted stock units ("RSUs") previously granted to the Reporting Person on February 19, 2015. |
(3) | This acquisition is reported to reflect the partial vesting of RSUs previously granted to the Reporting Person on February 18, 2016. |
(4) | This stock option, representing a right to purchase a total of 113,451 shares, is fully vested. The number of stock options granted includes previously reported adjustments effective on October 18, 2012 made in connection with a special dividend declared by the Board of Directors of the Issuer and on September 26, 2014 made in connection with the special distribution declared by the Board of Directors of the Issuer (the "Special Distribution"). |
(5) | This stock option, representing a right to purchase a total of 26,296 shares, is fully vested. The number of stock options granted includes previously reported adjustments effective on September 26, 2014 made in connection with the Special Distribution. |
(6) | Each RSU represents a contingent right to receive one share of the Issuer's common stock ("Common Stock"). |
(7) | The RSUs, representing a contingent right to receive a total of 5,794 shares of Common Stock, were granted to the Reporting Person on February 19, 2015 and vest in three substantially equal annual installments beginning on the first anniversary of the grant date. In connection with the Reporting Person's resignation from the Issuer on March 31, 2017, the unvested portion of this RSU award became fully vested. |
(8) | The RSUs, representing a contingent right to receive a total of 25,623 shares of Common Stock, were granted to the Reporting Person on February 18, 2016 and vest in three substantially equal annual installments beginning on the first anniversary of the grant date. In connection with the Reporting Person's resignation from the Issuer on March 31, 2017, the unvested portion of this RSU award became partially vested. |