0001462216-22-000001.txt : 20220204
0001462216-22-000001.hdr.sgml : 20220204
20220204152921
ACCESSION NUMBER: 0001462216-22-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220202
FILED AS OF DATE: 20220204
DATE AS OF CHANGE: 20220204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Schwartz H. Michael
CENTRAL INDEX KEY: 0001462216
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55617
FILM NUMBER: 22592903
MAIL ADDRESS:
STREET 1: 10 TERRACE ROAD
CITY: LADERA RANCH
STATE: CA
ZIP: 92694
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SmartStop Self Storage REIT, Inc.
CENTRAL INDEX KEY: 0001585389
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
IRS NUMBER: 461722812
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10 TERRACE ROAD
CITY: LADERA RANCH
STATE: CA
ZIP: 92694
BUSINESS PHONE: 949 429 6600
MAIL ADDRESS:
STREET 1: 10 TERRACE ROAD
CITY: LADERA RANCH
STATE: CA
ZIP: 92694
FORMER COMPANY:
FORMER CONFORMED NAME: Strategic Storage Trust II, Inc.
DATE OF NAME CHANGE: 20130828
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2022-02-02
0
0001585389
SmartStop Self Storage REIT, Inc.
N/A
0001462216
Schwartz H. Michael
10 TERRACE ROAD
LADERA RANCH
CA
92694
1
1
0
0
Chief Executive Officer
Class A Common Stock
483224
I
See Footnote 1.
Class A Common Stock
117260.79
I
Through Schwartz Family Trust dated September 22, 2003
Class A Common Units
0
Class A Common Stock
386173
386173
I
See Footnote 4.
Long-Term Incentive Plan Units
0
2022-02-02
4
A
0
108118.36
0
A
Class A Common Stock
108118.36
360447.16
I
Through Schwartz Family Trust dated September 22, 2003
Long-Term Incentive Plan Units
0
2022-02-02
4
A
0
72078.91
0
A
Class A Common Stock
72078.91
240298.21
I
Through Schwartz Family Trust dated September 22, 2003
Class A-1 Units
0
Class A Common Stock
8150546.71
8150546.71
I
See Footnote 9.
Represents 100 shares of Class A Common Stock owned by SmartStop OP Holdings, LLC ("SOH") and 483,124 shares of Class A Common Stock owned by Strategic 1031, LLC ("Strategic 1031") previously reported as being owned by the Reporting Person. SOH and Strategic 1031 are each indirectly owned and controlled by the Reporting Person.
Represents 117,260.79 shares of restricted stock previously reported as being owned by the Reporting Person.
Represents Class A common units ("Class A Common Units") of SmartStop OP, L.P., the Issuer's operating partnership (the "Operating Partnership"). Class A Common Units are redeemable by the holder for, at the election of the Issuer, shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares.
Represents 386,100 Class A Common Units owned by SS Growth Advisor, LLC ("SS Growth Advisor") and 73 Class A Common Units owned by SS Toronto REIT Advisors, LLC ("SS Toronto REIT Advisors") previously reported as being owned by the Reporting Person. SS Growth Advisor and SS Toronto REIT Advisors are each indirectly owned and controlled by the Reporting Person.
Represents long-term incentive plan units ("LTIP Units") of the Operating Partnership. Vested LTIP Units are convertible into Class A Common Units.
Represents 108,118.36 LTIP Units issued to the Reporting Person pursuant to the Issuer's Employee and Director Long-Term Incentive Plan, which LTIP Units vest ratably over four years commencing on December 31, 2022, subject to the Reporting Person's continued employment or service through each vesting date.
Represents 72,078.91 LTIP Units issued to the Reporting Person pursuant to the Issuer's Employee and Director Long-Term Incentive Plan, which number is equal to 200% of the target number of LTIP Units to be issued upon vesting. The actual number of LTIP Units to be issued upon vesting can range from 0% to 100% of the number of LTIP Units reported, based on achievement of specified performance measures. Assuming the achievement of the specified performance measures, the LTIP Units, as adjusted, will vest no later than March 31, 2025.
Represents Class A-1 limited partnership units ("Class A-1 Units") of the Operating Partnership. Class A-1 Units are redeemable by the holder for, at the election of the Issuer, shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares.
Represents 8,150,546.71 Class A-1 Units owned by SOH previously reported as being owned by the Reporting Person.
/s/ H. Michael Schwartz
2022-02-04