0001181431-13-053425.txt : 20131009
0001181431-13-053425.hdr.sgml : 20131009
20131009210516
ACCESSION NUMBER: 0001181431-13-053425
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: Durels Thomas P.
CENTRAL INDEX KEY: 0001587455
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36105
FILM NUMBER: 131144450
MAIL ADDRESS:
STREET 1: C/O EMPIRE STATE REALTY TRUST, INC.
STREET 2: 60 EAST 42ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10165
4
1
rrd392596.xml
FORM 4
X0306
4
2013-10-07
0
0001541401
Empire State Realty Trust, Inc.
ESRT
0001587455
Durels Thomas P.
ONE GRAND CENTRAL PLACE
60 EAST 42ND STREET
NEW YORK
NY
10165
0
1
0
0
See Remarks
Class B Common Stock, par value $0.01
2013-10-07
4
A
0
2407
0
A
2407
D
Operating Partnership Units
2013-10-07
4
A
0
122955
0
A
2014-10-07
Class A Common Stock
122955
122955
D
LTIP Units
2013-10-07
4
A
0
228288
0
A
2014-10-07
Class A Common Stock
228288
228288
D
Received by the reporting person in connection with Empire State Realty Trust, Inc.'s (the "Issuer") formation transactions.
Represents units of limited partnership interests ("Operating Partnership Units") of Empire State Realty OP, L.P. ("Operating Partnership"), of which the Issuer is the sole general partner. Operating Partnership Units 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 right to redeem Operating Partnership Units does not have an expiration date.
Represents LTIP Units, a class of units of Operating Partnership ("LTIP Units"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of Operating Partnership Units, 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 four 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.
Executive Vice President and Chief of Property Operations and Leasing
/s/ Thomas N. Keltner, Jr., as attorney-in-fact
2013-10-09