0001076484-23-000002.txt : 20230213 0001076484-23-000002.hdr.sgml : 20230213 20230213174110 ACCESSION NUMBER: 0001076484-23-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230210 FILED AS OF DATE: 20230213 DATE AS OF CHANGE: 20230213 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: 23620359 MAIL ADDRESS: STREET 1: C/O EMPIRE STATE REALTY TRUST, INC. STREET 2: 111 WEST 33RD STREET, 12TH FLOOR 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: 212-850-2600 MAIL ADDRESS: STREET 1: 111 WEST 33RD STREET, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10120 4 1 wf-form4_167632804156637.xml FORM 4 X0306 4 2023-02-10 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001076484 MALKIN ANTHONY E C/O EMPIRE STATE REALTY TRUST, INC. 111 WEST 33RD STREET, 12TH FLOOR NEW YORK NY 10120 1 1 0 0 Chairman, President and CEO LTIP Units 2023-02-10 4 A 0 322611 0 A Class A Common Stock 322611.0 2832082 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 under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan. These LTIP Units were earned on the achievement of certain performance criteria based on the Issuer's total shareholder return measured in industry-relative terms during a three-year performance period which ended on December 31, 2022. 50% of such earned LTIP Units fully vested as of January 1, 2023, and the remaining 50% of such earned LTIP Units will vest on January 1, 2024 subject to continued employment. /s/ Heather Lawson Houston (f/k/a Heather M. Lawson), Attorney-in-Fact 2023-02-13