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