Statement of Changes in Beneficial Ownership (4)
10 March 2021 - 9:09AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bloom Steven C |
2. Issuer Name and Ticker or Trading Symbol
QTS Realty Trust, Inc.
[
QTS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief People Officer |
(Last)
(First)
(Middle)
C/O QTS REALTY TRUST, INC., 12851 FOSTER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2021 |
(Street)
OVERLAND PARK, KS 66213
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 3/5/2021 | | A | | 6733.00 (1) | A | $0.00 | 31229.00 | D | |
Class A Common Stock | 3/5/2021 | | A | | 9313.00 (2) | A | $0.00 | 40542.00 | D | |
Class A Common Stock | 3/5/2021 | | F | | 2269.00 (3) | D | $57.12 | 38273.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On March 5, 2019, the reporting person was granted performance-based restricted share units ("RSUs") eligible to be earned based on Operating Funds From Operations per diluted share of the Issuer over a two-year performance period. The Compensation Committee certified the degree to which the performance measure was achieved, and two-thirds of the RSUs that were earned vested on March 5, 2021 (including 287dividend equivalent rights accrued thereon) and the remaining one-third RSUs that were earned will vest on March 5, 2022 (including additional dividend equivalent rights to be accrued thereon), subject to continued service. |
(2) | These restricted shares were granted under the QTS Realty Trust, Inc. 2013 Equity Incentive Plan (the "Plan") and vest over three years beginning on the first anniversary of the date of grant and each quarter thereafter. |
(3) | Reflects shares surrendered to the Issuer to satisfy tax withholding obligation in connection with the vesting of restricted shares and restricted share units. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bloom Steven C C/O QTS REALTY TRUST, INC. 12851 FOSTER STREET OVERLAND PARK, KS 66213 |
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| Chief People Officer |
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Signatures
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/s/ Aga Carpenter, as attorney in fact for Steven C. Bloom | | 3/9/2021 |
**Signature of Reporting Person | Date |
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