0001181431-13-053428.txt : 20131009 0001181431-13-053428.hdr.sgml : 20131009 20131009211707 ACCESSION NUMBER: 0001181431-13-053428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 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: MALKIN ANTHONY E CENTRAL INDEX KEY: 0001076484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 131144459 MAIL ADDRESS: STREET 1: C/O W&M PROPERTIES STREET 2: METRO CENTER, ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 4 1 rrd392635.xml FORM 4 X0306 4 2013-10-07 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001076484 MALKIN ANTHONY E ONE GRAND CENTRAL PLACE 60 EAST 42ND STREET NEW YORK NY 10165 1 1 0 0 CEO and President Common Stock, par value $0.01 2013-10-07 4 D 0 1000 D 0 D Class A Common Stock, par value $0.01 2013-10-07 4 A 0 200883 0 A 200883 D Class A Common Stock, par value $0.01 2013-10-07 4 A 0 9406 0 A 9406 I By wife Class B Common Stock, par value $0.01 2013-10-07 4 A 0 47520 0 A 47520 D Class B Common Stock, par value $0.01 2013-10-07 4 A 0 533765 0 A 533765 I By family trusts or entities controlled by the reporting person Class B Common Stock, par value $0.01 2013-10-07 4 A 0 5297 0 A 5297 I By family trusts for the benefit of children Operating Partnership Units 2013-10-07 4 A 0 2328459 0 A 2014-10-07 Class A Common Stock 2328459 2328459 D Operating Partnership Units 2013-10-07 4 A 0 26154482 0 A 2014-10-07 Class A Common Stock 26154482 26154482 I By family trusts or entities controlled by the reporting person Operating Partnership Units 2013-10-07 4 A 0 259554 0 A 2014-10-07 Class A Common Stock 259554 259554 I By family trusts for the benefit of children Represents shares of common stock issued in connection with the formation and initial capitalization of Empire State Realty Trust, Inc. (the "Issuer") which were redeemed by the Issuer at a cost of $0.10 per share. Received by the reporting person in connection with the Issuer's formation transactions. The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. See Exhibit 99.1. See Exhibit 99.1. Represents units of limited partnership interests ("Operating Partnership Units") of Empire State Realty OP, L.P, 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. /s/ Thomas N. Keltner, Jr., as attorney-in-fact 2013-10-09 EX-99.1 2 rrd353238_400107.htm EXHIBIT 99.1 rrd353238_400107.html 
                                                                    Exhibit 99.1

(4) Includes shares of Class B common stock, par value $0.01 per share ("Class B
Common Stock") of Empire State Realty Trust, Inc. and units of limited
partnership interests ("Operating Partnership Units") of Empire State Realty OP,
L.P. issued in connection with Empire State Realty Trust, Inc.'s formation
transactions to Elizabeth Malkin 2009 Trust; Emily M. Malkin 2010 Trust; Louisa
R. Malkin 2010 Trust; Rebecca S. Malkin 2010 Trust; Peter L Malkin Family 9
LLC; Peter L Malkin Family 2000 LLC; Row Jimmy LLC; Born Cross-Eyed LLC; and
LarryMae LLC,of which Anthony E. Malkin has sole voting and investment power as
 sole manager or sole trustee, as applicable, or Anthony E. Malkin and his wife
have shared voting and investment power as managers or trustees, as applicable.
Anthony E.Malkin disclaims beneficial ownership of such Class B Common Stock and
 Operating Partnership Units, except to the extent of his pecuniary interest
therein.

(5) Includes Class B Common Stock of Empire State Realty Trust, Inc. and
Operating Partnership Units of Empire State Realty OP, L.P. issued in connection
with Empire State Realty Trust, Inc.'s formation transactions to the following
family trusts for the benefit of Anthony E. Malkin's children: Rachelle B and
Anthony E. Malkin 1998 Family Trust; AEM/Andrew 1999 Trust; and AEM/George 1999
Trust. Anthony E. Malkin disclaims beneficial ownership of such Class B Common
Stock and Operating Partnership Units, except to the extent of his pecuniary
interest therein.

This report shall not be deemed an admission that Anthony E. Malkin is the
beneficial owner of, or has any pecuniary interest in, the reported Class A
Common Stock, Class B Common Stock or Operating Partnership Units for purposes
of the Securities Exchange Act of 1934, as amended, or for any other purpose.