0001209191-14-004408.txt : 20140122 0001209191-14-004408.hdr.sgml : 20140122 20140122192117 ACCESSION NUMBER: 0001209191-14-004408 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140117 FILED AS OF DATE: 20140122 DATE AS OF CHANGE: 20140122 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Keltner Thomas N. CENTRAL INDEX KEY: 0001587458 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 14541309 MAIL ADDRESS: STREET 1: C/O EMPIRE STATE REALTY TRUST, INC. STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-01-17 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001587458 Keltner Thomas N. ONE GRAND CENTRAL PLACE 60 EAST 42ND STREET NEW YORK NY 10165 0 1 0 0 See Remarks LTIP Units 2014-01-17 4 A 0 8776 0.00 A Class A Common Stock 8776 154622 D Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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.'s (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. The LTIP Units, which vest ratably beginning on January 1, 2015 and on each of the first three anniversaries of such date thereafter, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan. Executive Vice President, General Counsel and Secretary /s/ Thomas N. Keltner, Jr 2014-01-22