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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 | ||||||||
Restricted Stock Units | (4) | 09/08/2014 | D | 2,530 | (5) | (5) | Common Stock | 2,530 | $ 0 | 2,534 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.374 | 09/08/2014 | M | 10,886 | (6) | 09/15/2020 | Common Stock | 10,886 | $ 0 | 5,442 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.374 | 09/08/2014 | M | 15,000 | (7) | 09/15/2020 | Common Stock | 15,000 | $ 0 | 24,743 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tsolakis Anastasios C/O IRON MOUNTAIN INCORPORATED ONE FEDERAL STREET BOSTON, MA 02110 |
EVP, CIO, Global Svcs. Officer |
/s/ Garry B. Watzke, under Power of Attorney dated November 1, 2013, from Anastasios Tsolakis | 09/10/2014 | |
**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 acquisition is reported to reflect the partial vesting of restricted stock units ("RSUs") previously granted to the Reporting Person on September 8, 2011. |
(2) | This transaction is reported to reflect the exercise of a stock option for a total of 10,886 shares of Iron Mountain common stock ("Common Stock") by means of a stock swap whereby the Reporting Person disposed of 5,537 shares of Common Stock to the Company as consideration for the Reporting Person's exercise of stock options to purchase 10,886 shares of Common Stock. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.10 to $36.12, inclusive. The reporting person undertakes to provide to Iron Mountain Incorporated, any security holder of Iron Mountain Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3). |
(4) | Each RSU represents a contingent right to receive one share of Common Stock. |
(5) | The RSUs, representing a contingent right to receive a total of 10,125 shares of Common Stock, were granted to the Reporting Person on September 8, 2011 and vest in four substantially equal annual installments beginning on the first anniversary of the grant date. |
(6) | This stock option, which initially represented a right to purchase a total of 21,768 shares, vests in four substantially equal annual installments beginning on September 15, 2011, which was the first anniversary of the date of grant. |
(7) | This stock option, which initially represented a right to purchase a total of 79,482 shares, vests in four substantially equal annual installments beginning on September 15, 2011, which was the first anniversary of the date of grant. |