# EDGAR Filing Document

**Accession Number:** 0001781316
**File Stem:** 0001781316-23-000002
**Filing Date:** 2023-3
**Character Count:** 8770
**Document Hash:** 9bb50b90cd555aa39c0fddd3ac81308c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001781316-23-000002.hdr.sgml**: 20230306

**ACCESSION NUMBER**: 0001781316-23-000002

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230302

**FILED AS OF DATE**: 20230306

**DATE AS OF CHANGE**: 20230306

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Barry James R.
- **CENTRAL INDEX KEY:** 0001781316

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-55617
- **FILM NUMBER:** 23710135

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Barry James R.<br><sub>(Last) (First) (Middle)</sub><br>10 TERRACE ROAD<br><sub>(Street)</sub><br>LADERA RANCH, CA 92694<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-02 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CFO and Treasurer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>SmartStop Self Storage REIT, Inc. [ n/a ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-02 |  | A |  | 5112.4<sup>(1)</sup> | A | $0 | 13682.3 | D |  |
| Class A Common Stock | 2023-03-02 |  | F |  | 1767.86<sup>(2)</sup> | D | $0 | 11914.44 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Long-Term Incentive Plan Units<sup>(3)</sup> | 0<sup>(3)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 53894.48 |  | 53894.48<sup>(4)</sup> | D |  |
| Long-Term Incentive Plan Units<sup>(3)</sup> | 0<sup>(3)</sup> |  |  |  |  |  |  | <sup>(5)</sup> | <sup>(5)</sup> | Class A Common Stock | 37486.75 |  | 37486.75<sup>(5)</sup> | D |  |
| Class A-1 Units<sup>(6)</sup> | 0<sup>(6)</sup> |  |  |  |  |  |  | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 123766 |  | 123766<sup>(7)</sup> | D |  |

---

### Footnotes:

(1) Includes shares of restricted stock previously reported as being owned by the Reporting Person, which shares of restricted stock were subject to vesting based on the achievement of specified performance measures. The actual number of shares of restricted stock to be issued upon vesting could range from 0% to 200% of the number of shares of restricted stock reported based on the actual performance measure achieved. On March 2, 2023, the Compensation Committee of the Issuer's Board of Directors determined that a performance measure had been achieved such that 200% of the number of shares of restricted stock previously reported should vest. Accordingly, on March 2, 2023, 2,556.2 shares of restricted stock previously reported as being owned by the Reporting Person vested, and an additional 2,556.2 shares of restricted stock were issued to the Reporting Person.

(2) Represents 1,767.86 shares of restricted stock being withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting and net settlement of shares of restricted stock previously reported as being owned by the Reporting Person.

(3) 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 Class A common units of the Operating Partnership ("Class A Common Units"). 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.

(4) Represents 53,894.48 LTIP Units previously reported as being owned by the Reporting Person. The LTIP Units vest ratably over a four-year period commencing on December 31 of the year of grant, subject to the Reporting Person's continued employment or service through each vesting date.

(5) Represents 37,486.75 LTIP Units previously reported as being owned by the Reporting Person, 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 performancemeasures.

(6) 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.

(7) Represents 123,766 Class A-1 Units previously reported as being owned by the Reporting Person.

**Signature:** /s/ James R. Barry  
**Date:** 2023-03-06

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**