0001209191-16-146725.txt : 20161024
0001209191-16-146725.hdr.sgml : 20161024
20161024160230
ACCESSION NUMBER: 0001209191-16-146725
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161021
FILED AS OF DATE: 20161024
DATE AS OF CHANGE: 20161024
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Durels Thomas P.
CENTRAL INDEX KEY: 0001587455
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36105
FILM NUMBER: 161948193
MAIL ADDRESS:
STREET 1: C/O EMPIRE STATE REALTY TRUST, INC.
STREET 2: 111 WEST 33RD STREET
CITY: NEW YORK
STATE: NY
ZIP: 10120
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-10-21
0
0001541401
Empire State Realty Trust, Inc.
ESRT
0001587455
Durels Thomas P.
C/O EMPIRE STATE REALTY TRUST, INC.
111 WEST 33RD STREET, 12TH FLOOR
NEW YORK
NY
10120
0
1
0
0
EVP, Dir. of Leasing & Op.
LTIP Units
2016-10-21
4
A
0
76096
0.00
A
Class A Common Stock
76096
76096
D
Represents long term investment 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. (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 based on the achievement of certain performance criteria based on the Issuer's total return to shareholders and the Issuer's relative total return to shareholders during a three-year performance period which ended on October 2, 2016. 50% of such earned LTIP units are fully vested (the applicable service requirement through the three-year anniversary of the grant date having been satisfied) and the remaining 50% of such earned LTIP units will vest on October 7, 2017 (the four-year anniversary of the grant date), subject to continued employment.
/s/ Debra E. Levin, attorney-in-fact
2016-10-24
EX-24.4_680700
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY
The undersigned hereby constitutes and appoints each of Thomas N.
Keltner, Jr., Bart S. Goldstein, Debra E. Levin, and Yoel Kranz, signing singly,
and with full power of substitution, the undersigned's true and lawful
attorney-in-fact to:
(1) complete and execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer, director and/or ten percent (10%)
shareholder of Empire State Realty Trust, Inc. (the "Company") any and all
instruments, certificates and documents required to be executed on behalf of the
undersigned as an individual or on behalf of the undersigned's company or
partnership, as the case may be, pursuant to Section 13 and Section 16 of the
Securities Exchange Act of 1934, as amended (the "Exchange Act") or the rules
and regulations thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such instruments,
certificates or documents required to be filed pursuant to Section 13 and
Section 16 of the Exchange Act or the rules or regulations thereunder, and
timely file such form(s) with the Securities and Exchange Commission and any
securities exchange, stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by any such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact, acting singly,
full power and authority to do and perform any and every act which is necessary,
proper or desirable to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that any such attorney-in-fact, or any such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that each of the foregoing
attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 13 or Section 16 of the
Exchange Act. The undersigned hereby agrees to indemnify the attorneys-in-fact
and the Company from and against any demand, damage, loss, cost or expense
arising from any false or misleading information provided by the undersigned to
the attorneys-in-fact.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file any instruments, certificates and
documents pursuant to Section 13 and Section 16 of the Exchange Act or the rules
or regulations thereunder with respect to the undersigned's holdings of and
transactions in securities issued by the Company, unless earlier revoked by the
undersigned in a signed writing delivered to the foregoing attorneys-in-fact c/o
Empire State Realty Trust, Inc., 111 West 33rd Street, New York, NY 10120. This
Power of Attorney supersedes any prior power of attorney in connection with the
undersigned's capacity as an officer and/or director of the Company. This Power
of Attorney shall expire as to any individual attorney-in-fact if such
attorney-in-fact ceases to be an executive officer of, or legal counsel to, the
Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of October 24, 2016.
/s/ Thomas P. Durels
Thomas P. Durels