0001209191-17-003949.txt : 20170117
0001209191-17-003949.hdr.sgml : 20170117
20170117181308
ACCESSION NUMBER: 0001209191-17-003949
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170112
FILED AS OF DATE: 20170117
DATE AS OF CHANGE: 20170117
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: Andrew J. Prentice
CENTRAL INDEX KEY: 0001587374
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36105
FILM NUMBER: 17531692
BUSINESS ADDRESS:
STREET 1: C/O EMPIRE STATE REALTY TRUST, INC.
STREET 2: 111 WEST 33RD STREET
CITY: NEW YORK
STATE: NY
ZIP: 10120
BUSINESS PHONE: 212-953-0888
MAIL ADDRESS:
STREET 1: C/O EMPIRE STATE REALTY TRUST, INC.
STREET 2: 111 WEST 33RD STREET
CITY: NEW YORK
STATE: NY
ZIP: 10120
FORMER NAME:
FORMER CONFORMED NAME: Andrew Prentice
DATE OF NAME CHANGE: 20130920
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-01-12
0
0001541401
Empire State Realty Trust, Inc.
ESRT
0001587374
Andrew J. Prentice
C/O EMPIRE STATE REALTY TRUST, INC.
111 WEST 33RD STREET, 12TH FLOOR
NEW YORK
NY
10120
0
1
0
0
SVP, CAO and Treasurer
LTIP Units
2017-01-12
4
A
0
2923
0.00
A
Class A Common Stock
2923
2923
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 December 31, 2016. 50% of such earned LTIP units fully vested on January 1, 2017, and the remaining 50% of such earned LTIP units will vest on January 1, 2018, subject to continued employment.
/s/ Debra E. Levin, Attorney-in-Fact
2017-01-17