0001181431-13-053426.txt : 20131009 0001181431-13-053426.hdr.sgml : 20131009 20131009210653 ACCESSION NUMBER: 0001181431-13-053426 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: Keltner Thomas N. CENTRAL INDEX KEY: 0001587458 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 131144453 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 rrd392617.xml FORM 4 X0306 4 2013-10-07 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001587458 Keltner Thomas N. ONE GRAND CENTRAL PLACE 60 EAST 42ND STREET NEW YORK NY 10165 0 1 0 0 See Remarks Operating Partnership Units 2013-10-07 4 A 0 412956 0 A 2014-10-07 Class A Common Stock 412956 412956 D Operating Partnership Units 2013-10-07 4 A 0 3059 0 A 2014-10-07 Class A Common Stock 3059 3059 I See Footnote Operating Partnership Units 2013-10-07 4 A 0 16957 0 A 2014-10-07 Class A Common Stock 16957 16957 I See Footnote LTIP Units 2013-10-07 4 A 0 145846 0 A 2014-10-07 Class A Common Stock 145846 145846 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. Held by the Thomas N. Keltner, Jr. Revocable Trust dtd February 23, 2008, for which the reporting person is the trustee. Held by the Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is the trustee. 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, General Counsel and Secretary /s/ Thomas N. Keltner, Jr. 2013-10-09