SEC Form 4 · accession 0001104659-17-051377
IRON MOUNTAIN INC · IRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Tomovcsik
Officer — EVP, G. Mgr., Rec. & Inf. Mgmt
Period of report
Aug 9, 2017
Accepted (ET)
Aug 11, 2017 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001020569
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per shareF2 | Aug 9, 2017 | M | 13,565 | $22.786 | A | 54,907 | D | |
| Common Stock, par value $.01 per shareF3 | Aug 9, 2017 | S | 13,565 | $38.001 | D | 41,342 | D | |
| Common Stock, par value $.01 per share | Aug 9, 2017 | M | 15,885 | $22.036 | A | 57,227 | D | |
| Common Stock, par value $.01 per shareF3 | Aug 9, 2017 | S | 15,885 | $38.001 | D | 41,342 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $22.786 | Aug 9, 2017 | M | 13,565 | D | — | Mar 11, 2021 | Common Stock | 13,565 | 0 | D |
| Employee Stock Option (Right to Buy)F5 | $22.036 | Aug 9, 2017 | M | 15,885 | D | — | Mar 1, 2019 | Common Stock | 15,885 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a 10b5-1 trading plan which was approved and became effective as of April 28, 2017.
- F2Includes 766 shares acquired under the Iron Mountain Incorporated Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.000 to $38.010, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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).
- F4This stock option, representing a right to purchase a total of 13,565 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 declared by the Board of Directors of the Issuer on September 15, 2014 and paid on November 4, 2014 (the "Special Distribution").
- F5This stock option, representing a right to purchase a total of 15,885 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.