0000899243-18-005257.txt : 20180223 0000899243-18-005257.hdr.sgml : 20180223 20180223143023 ACCESSION NUMBER: 0000899243-18-005257 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180221 FILED AS OF DATE: 20180223 DATE AS OF CHANGE: 20180223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KARP DAVID A CENTRAL INDEX KEY: 0001273446 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 18635905 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 2018-02-21 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001273446 KARP DAVID A C/O EMPIRE STATE REALTY TRUST, INC., 111 WEST 33RD STREET, 12TH FL NEW YORK NY 10120 1 1 0 0 EVP and CFO LTIP Units 2018-02-21 4 A 0 13850 0.00 A Class A Common Stock 13850 13850 D LTIP Units 2018-02-21 4 A 0 10328 0.00 A Class A Common Stock 10328 217600 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 earned on the achievement of certain performance criteria based on the Issuer's total shareholder return measured in both absolute and industry-relative terms during a three-year performance period which ended on December 31, 2017. 50% of such earned LTIP units fully vested as of January 1, 2018, and the remaining 50% of such earned LTIP units will vest on January 1, 2019, subject to continued employment. These represent fully vested LTIP Units issued, pursuant to the Issuer's First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan (as amended and restated as of April 4, 2016), in connection with an annual incentive bonus compensation election made by the reporting person. /s/ Debra E. Levin, Attorney-in-Fact 2018-02-23