0000899243-20-001330.txt : 20200116
0000899243-20-001330.hdr.sgml : 20200116
20200116164326
ACCESSION NUMBER: 0000899243-20-001330
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200116
DATE AS OF CHANGE: 20200116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Keltner Thomas N.
CENTRAL INDEX KEY: 0001587458
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36105
FILM NUMBER: 20531498
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
5
1
doc5.xml
FORM 5 SUBMISSION
X0306
5
2019-12-31
0
0
0
0001541401
Empire State Realty Trust, Inc.
ESRT
0001587458
Keltner Thomas N.
C/O EMPIRE STATE REALTY TRUST, INC.
111 WEST 33RD STREET, 12TH FL.
NEW YORK
NY
10120
0
1
0
0
EVP, Gen. Counsel and Sec
Operating Partnership Units
2019-05-09
5
G
0
39760
0.00
A
Class A Common Stock
39760
242627
I
See footnotes
Operating Partnership Units
2019-08-12
5
G
0
1000
0.00
D
Class A Common Stock
1000
241627
I
See footnote
Operating Partnership Units
2019-08-12
5
G
0
1000
0.00
D
Class A Common Stock
1000
240627
I
See footnote
Operating Partnership Units
2019-08-12
5
G
0
1000
0.00
D
Class A Common Stock
1000
239627
I
See footnote
Operating Partnership Units
2019-08-12
5
G
0
1000
0.00
D
Class A Common Stock
1000
238627
I
See footnote
Operating Partnership Units
2019-08-12
5
G
0
2000
0.00
D
Class A Common Stock
2000
236627
I
See footnote
Operating Partnership Units
Class A Common Stock
163717
163717
I
See footnote
Operating Partnership Units
Class A Common Stock
162162
162162
I
See footnote
Operating Partnership Units
Class A Common Stock
165000
165000
I
See footnote
Represents units of limited partnership interest ("Operating Partnership Units") of Empire State Realty OP, L.P., of which Empire State Realty Trust, Inc. (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 ("Class A Common Stock") on a one-for-one basis or the cash value of such shares of Class A Common Stock, at the Issuer's option. The right to redeem Operating Partnership Units does not have an expiration date.
These Operating Partnership Units were initially granted to Mr. Keltner as long-term incentive plan units ("LTIP Units") under the First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan as follows: 10,053 LTIP Units on February 18, 2015, 18,770 LTIP Units on February 29, 2016 and 10,937 LTIP Units on March 17, 2017. 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 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 of Class A Common Stock, at the Issuer's option, as described in footnote 1.
(Continued from Footnote 2) Mr. Keltner subsequently converted the LTIP Units to Operating Partnership Units and transferred the Operating Partnership Units to the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008 described in footnote 4.
Held by the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee.
Gift of Operating Partnership Units to daughters and grandchildren, who do not share the reporting person's household.
Held by the Paula S. Keltner Revocable Trust dated March 1, 2008, for which the reporting person's wife is the trustee.
Held by the Thomas N. Keltner, Jr. Family Trust, for which the reporting person's wife and sister are the trustees.
Held by the Paula S. Keltner Family Trust, for which the reporting person is the trustee.
/s/ Bart S. Goldstein, Attorney-in-Fact
2020-01-16