0001445305-14-001251.txt : 20140401 0001445305-14-001251.hdr.sgml : 20140401 20140401162320 ACCESSION NUMBER: 0001445305-14-001251 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20140401 DATE AS OF CHANGE: 20140401 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 14734509 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 8-K 1 esrtform8-k4x1x2014.htm 8-K ESRT Form 8-K 4-1-2014



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
_____________________

FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): March 31, 2014
_____________________

EMPIRE STATE REALTY TRUST, INC.
(Exact Name of Registrant as Specified in its Charter)

Maryland
001-36105
37-1645259
(State or other Jurisdiction
of Incorporation)
(Commission File Number)
(I.R.S. Employer
Identification No.)
_____________________

EMPIRE STATE REALTY OP, L.P.
(Exact Name of Registrant as Specified in its Charter)
_____________________

Delaware
001-36106
45-4685158
(State or other Jurisdiction
of Incorporation)
(Commission File Number)
(I.R.S. Employer
Identification No.)
_____________________

One Grand Central Place
60 East 42nd Street
New York, New York
10165
(Address of Principal Executive Offices)
(Zip Code)

Registrant's telephone number, including area code:  (212) 687-8700

n/a
(Former name or former address, if changed from last report)

_____________________

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ]
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)






[ ]
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ]
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ]
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))





















































Item 7.01. Regulation FD Disclosure

On March 31, 2014, Empire State Realty Trust, Inc. (the “Company”) sent a letter to investors in the Company and its operating partnership, Empire State Realty OP, L.P. regarding the partial expiration of lock-up restrictions on securities previously issued by such entities. A copy of such letter is attached hereto as Exhibit 99.1.

The information in Item 7.01 of this Current Report, including Exhibit 99.1, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that Section. Such information shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, or the Exchange Act, unless it is specifically incorporated by reference therein.


Item 9.01. Financial Statements and Exhibits.
 
(d) Exhibits.

Exhibit No.
Description
99.1
Letter to investors











































SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: April 1, 2014
EMPIRE STATE REALTY TRUST, INC. (Registrant)


By: /s/ Thomas N. Keltner, Jr.                                
 Name: Thomas N. Keltner, Jr.
 Title: Executive Vice President &
            General Counsel


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: April 1, 2014
EMPIRE STATE REALTY OP, L.P. 
(Registrant)

By: Empire State Realty Trust, Inc., as general partner


By: /s/ Thomas N. Keltner, Jr.                                
 Name: Thomas N. Keltner, Jr.
 Title: Executive Vice President &
            General Counsel




EX-99.1 2 esrtexhibit9914-1x2014.htm 8-K EXHIBIT 99.1 ESRT Exhibit 99.1 4-1-2014



Exhibit 99.1
[Empire State Realty Trust, Inc. Letterhead]
 
March 31, 2014

Dear Investor:

In connection with the consolidation and IPO of Empire State Realty Trust, Inc. ("ESRT"), you received shares of Class A common stock, Class B common stock, and/or operating partnership units (collectively, “securities”) in ESRT or Empire State Realty OP, L.P. (the "Operating Partnership"), all as detailed for you in our October 30, 2013 letter, which identified as “restricted” the securities which were subject to transfer restrictions under the lock-up agreement.

We are now writing to remind you that the lock-up restrictions lapse today with respect to 50% of your securities, and on October 2, 2014 with respect to the remainder.

To transfer the securities which become free of the lock-up restrictions, including a transfer to your brokerage account, and to remove the restrictive legend, you may contact the transfer agent American Stock Transfer & Trust at (800) 937-5449.
Please note:

1.
Securities you received in respect of your interests in the private entities were not registered under applicable securities laws and may not be resold unless they become registered or an exemption from registration is available. An exemption under Rule 144 allows resale of such securities if at that time:
the issuer (ESRT or the Operating Partnership) remains subject to public reporting requirements, as is expected; and
you have held the securities for at least six months, as will be the case within five days after today’s lapse of lock-up restrictions.

2.
Series PR operating partnership units are not listed on a national securities exchange, and their transfer is subject to ESRT approval and certain other conditions.
We intend, in October 2014, to register (a) the unregistered Class A shares and (b) the exchange of operating partnership units and Class B shares for Class A shares, thus enabling you to exchange your operating partnership units for Class A shares which can be sold on the NYSE any time thereafter.

Sincerely,

Empire State Realty Trust, Inc.