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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 | (2) | 03/11/2013 | D | 1,171 | (3) | (3) | Common Stock | 1,171 | $ 0 | 1,176 | D | ||||
Restricted Stock Units | (2) | 03/11/2013 | D | 3,802 | (4) | (4) | Common Stock | 3,802 | $ 0 | 7,621 | D | ||||
Performance Units | (5) | 03/13/2013 | A | 10,212 (6) | (7) | (7) | Common Stock | 10,212 | $ 0 | 10,212 | 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 | 03/13/2013 | |
**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. |
(2) | Each RSU represents a contingent right to receive one share of Iron Mountain Incorporated common stock ("Common Stock"). |
(3) | The RSUs, representing a contingent right to receive a total of 3,518 shares of Common Stock, were granted to the Reporting Person on March 11, 2011 and vest in three substantially equal annual installments beginning on the first anniversary of the grant date. The number of RSUs granted includes previously reported RSUs allocated on November 21, 2012 in connection with the Reporting Person's receipt of his pro rata portion of a special dividend declared by the Board of Directors of Iron Mountain Incorporated on October 11, 2012 and paid on November 21, 2012 (the "Special Dividend"). |
(4) | The RSUs, representing a contingent right to receive a total of 11,423 shares of Common Stock, were granted to the Reporting Person on March 9, 2012 and vest in three substantially equal annual installments beginning on the first anniversary of the grant date. The number of RSUs granted includes previously reported RSUs allocated on November 21, 2012 in connection with the Reporting Person's receipt of his pro rata portion of the Special Dividend. |
(5) | Each performance unit ("PU") represents a contingent right to receive one share of Common Stock. |
(6) | The PUs were previously granted to the Reporting Person on March 9, 2012, and on March 13, 2013 the Compensation Committee of Iron Mountain Incorporated's Board of Directors determined the actual award of PUs under the grant after completion of the relevant performance period. |
(7) | The PUs fully vest on March 9, 2015, subject to certain exceptions, if the Reporting Person is, as of that date, continuing to perform services for Iron Mountain Incorporated. |