0001462216-21-000001.txt : 20210421 0001462216-21-000001.hdr.sgml : 20210421 20210421110532 ACCESSION NUMBER: 0001462216-21-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210419 FILED AS OF DATE: 20210421 DATE AS OF CHANGE: 20210421 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: 21840022 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 2021-04-19 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 D Long-Term Incentive Plan Units 0 2021-04-19 4 A 0 149193.5 0 A Class A Common Stock 149193.5 252328.8 I Through Schwartz Family Trust dated September 22, 2003 Long-Term Incentive Plan Units 0 2021-04-19 4 A 0 99462.4 0 A Class A Common Stock 99462.4 168219.3 I Through Schwartz Family Trust dated September 22, 2003 Represents 100 shares of Class A Common Stock owned by SmartStop OP Holdings, LLC and 483,124 shares of Class A Common Stock owned by Strategic 1031, LLC previously reported as being owned by the Reporting Person. Represents 117,260.79 shares of restricted stock previously reported as being owned by the Reporting Person. Represents long-term incentive plan units ("LTIP Units") of SmartStop OP, L.P., the Issuer's operating partnership (the "Operating Partnership"). Vested LTIP Units are convertible into common units of the Operating Partnership ("Common Units"). 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 149,193.50 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, 2021, subject to the Reporting Person's continued employment or service through each vesting date. Represents 99,462.40 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, 2024. /s/ H. Michael Schwartz 2021-04-21