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