0000899243-20-008674.txt : 20200317 0000899243-20-008674.hdr.sgml : 20200317 20200317185006 ACCESSION NUMBER: 0000899243-20-008674 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200316 FILED AS OF DATE: 20200317 DATE AS OF CHANGE: 20200317 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: 20722530 MAIL ADDRESS: STREET 1: C/O EMPIRE STATE REALTY TRUST, INC. STREET 2: 111 WEST 33RD STREET CITY: NEW YORK STATE: NY ZIP: 10120 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: 111 WEST 33RD STREET, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10120 BUSINESS PHONE: 212-953-0888 MAIL ADDRESS: STREET 1: 111 WEST 33RD STREET, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10120 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-03-16 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001076484 MALKIN ANTHONY E C/O EMPIRE STATE REALTY TRUST, INC. 111 WEST 33RD STREET, 12TH FL. NEW YORK NY 10120 1 1 0 0 Chairman and CEO LTIP Units 2020-03-16 4 J 0 87906 0.00 D Class A Common Stock 87906 0 D LTIP Units 2020-03-16 4 A 0 362086 0.00 A Class A Common Stock 362086 1398225 D These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (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. These LTIP Units were granted on March 17, 2017 and were scheduled to vest based on the achievement of certain performance criteria relating to the Issuer's total return to the shareholders during a three-year performance period ending December 31, 2019. These units were forfeited due to failure to satisfy such performance criteria as of December 31, 2019. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit. These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2020, subject to continued employment through such dates. /s/ Bart S. Goldstein, Attorney-in-Fact 2020-03-17