H. Michael Schwartz - Feb 1, 2017 Form 4 Insider Report for SmartStop Self Storage REIT, Inc. (N/A)

Role: Chief Executive Officer, Director, 10%+ Owner
Signature: /s/ H. Michael Schwartz
Stock symbol: N/A
Transactions as of: Feb 1, 2017
Transactions value $: $0
Form type: 4
Date filed: 9/3/2021, 02:43 PM
Next filing: Sep 3, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	N/A	Class A Common Units	Award		+483K			483K	Feb 1, 2017	Class A Common Stock	483K	$0.00	See Footnote 2.	F1, F2, F3
transaction	N/A	Class A Common Units	Award		+396K	+542465.75%		396K	Jan 24, 2019	Class A Common Stock	396K	$0.00	See Footnote 4.	F1, F4
transaction	N/A	Class A Common Units	Other		-9.9K	-2.5%		386K	Jun 28, 2019	Class A Common Stock	9.9K	$0.00	See Footnote 5.	F1, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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.
F2	On February 1, 2017, the Issuer, the Operating Partnership, SST II Toronto Acquisition, LLC, and Strategic Storage Toronto Properties REIT, Inc. ("SS Toronto") entered into an agreement and plan of merger (the "Toronto Merger Agreement") whereby SS Toronto became a wholly-owned subsidiary of the Operating Partnership (the "Toronto Merger"). Pursuant to the Toronto Merger Agreement, the holders of SS Toronto common stock, Strategic 1031, LLC ("Strategic 1031") and SS Toronto REIT Advisors, LLC ("SS Toronto REIT Advisors"), received approximately 483,197 Class A Common Units and $7,300,000 in cash in exchange for their shares of SS Toronto common stock. 483,124 of such Class A Common Units were issued to Strategic 1031, and 73 of such Class A Common Units were issued to SS Toronto REIT Advisors. Strategic 1031 and SS Toronto REIT Advisors are each indirectly owned and controlled by the Reporting Person.
F3	On October 1, 2018, Strategic 1031 exchanged 483,124 Class A Common Units for 483,124 shares of Class A Common Stock. The 483,124 shares of Class A Common Stock have previously been reported as being owned by the Reporting Person.
F4	On January 24, 2019, the Issuer, the Operating Partnership, SST II Growth Acquisition, LLC ("SSGT Merger Sub"), Strategic Storage Growth Trust, Inc. ("SSGT"), and SS Growth Operating Partnership, L.P. ("SSGT OP") entered into an agreement and plan of merger (the "SSGT Merger Agreement") whereby SSGT merged with and into SSGT Merger Sub and SSGT OP merged with and into the Operating Partnership. Pursuant to the SSGT Merger Agreement, the holders of SSGT OP units of partnership interest ("SSGT OP Units"), including SS Growth Advisor, LLC ("SS Growth Advisor"), received approximately 1.127 Class A Common Units per SSGT OP Unit held. As a result, 396,000 Class A Common Units were issued to SS Growth Advisor. SS Growth Advisor is indirectly owned and controlled by the Reporting Person.
F5	On June 28, 2019, SS Growth Advisor conveyed an aggregate of 9,900 Class A Common Units and a sum of cash to two individuals in exchange for such individuals' collective 2.5% non-voting membership interests in SS Growth Advisor.