0001181431-13-053422.txt : 20131009 0001181431-13-053422.hdr.sgml : 20131009 20131009210309 ACCESSION NUMBER: 0001181431-13-053422 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131007 FILED AS OF DATE: 20131009 DATE AS OF CHANGE: 20131009 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Empire State Realty Trust, Inc. CENTRAL INDEX KEY: 0001541401 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 371645259 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE GRAND CENTRAL PLACE STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 BUSINESS PHONE: 212-953-0888 MAIL ADDRESS: STREET 1: ONE GRAND CENTRAL PLACE STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Golub Lawrence E CENTRAL INDEX KEY: 0001311018 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 131144447 MAIL ADDRESS: STREET 1: 555 MADISON AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 rrd392591.xml FORM 4 X0306 4 2013-10-07 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001311018 Golub Lawrence E ONE GRAND CENTRAL PLACE 60 EAST 42ND STREET NEW YORK NY 10165 1 0 0 0 Class A Common Stock, par value $0.01 2013-10-07 4 A 0 130000 13.00 A 130000 I By Whitehall Capital Investors IV, LLC LTIP Units 2013-10-07 4 A 0 11538 0 A 2014-10-07 Class A Common Stock 11538 11538 D Represents shares of Class A Common Stock acquired in Empire State Realty Trust, Inc.'s (the "Issuer") initial public offering. The shares of Class A Common Stock are directly beneficially owned by Whitehall Capital Investors IV, LLC and held for the benefit of the reporting person. Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan concurrently with the closing of the Issuer's initial public offering. /s/ Thomas N. Keltner, Jr., as attorney-in-fact 2013-10-09