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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) | $ 24.804 | 04/18/2016 | M(1) | 8,756 | (2) | 02/13/2024 | Common Stock | 8,756 | $ 0 | 17,540 | D | ||||
Employee Stock Option (Right to Buy) | $ 22.036 | 04/18/2016 | M(1) | 11,345 | (3) | 03/01/2019 | Common Stock | 11,345 | $ 0 | 22,692 | 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'l |
/s/ Garry B. Watzke, under Power of Attorney dated December 2, 2010, from Marc A. Duale | 04/20/2016 | |
**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 December 1, 2015. |
(2) | This stock option, representing a right to purchase a total of 26,296 shares, vests in substantially equal annual installments on February 13 of each year until 2017. The number of stock options granted includes previously reported adjustments effective on September 26, 2014 made in connection with the special distribution declared by the Board of Directors of Iron Mountain Incorporated on September 15, 2014 and paid on November 4, 2014 (the "Special Distribution"). |
(3) | This stock option, representing a right to purchase a total of 34,037 shares, vests in substantially equal annual installments on March 2 of each year until 2017. The number of stock options granted includes previously reported adjustments effective on September 26, 2014 made in connection with the Special Distribution. |