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