0001209191-19-006876.txt : 20190204
0001209191-19-006876.hdr.sgml : 20190204
20190204172132
ACCESSION NUMBER: 0001209191-19-006876
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190204
DATE AS OF CHANGE: 20190204
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: 19564942
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
2018-12-31
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 FLOOR
NEW YORK
NY
10120
0
1
0
0
EVP, Gen. Counsel and Sec.
Operating Partnership Units
2018-02-09
5
G
0
63093
0.00
A
2014-10-07
Class A Common stock
63093
207867
I
See footnote
Operating Partnership Units
2018-10-09
5
G
0
1000
0.00
D
2014-10-07
Class A Common stock
1000
206867
I
See footnote
Operating Partnership Units
2018-10-09
5
G
0
1000
0.00
D
2014-10-07
Class A Common stock
1000
205867
I
See footnote
Operating Partnership Units
2018-10-09
5
G
0
1000
0.00
D
2014-10-07
Class A Common stock
1000
204867
I
See footnote
Operating Partnership Units
2018-10-09
5
G
0
1000
0.00
D
2014-10-07
Class A Common stock
1000
203867
I
See footnote
Operating Partnership Units
2018-10-09
5
G
0
1000
0.00
D
2014-10-07
Class A Common stock
1000
202867
I
See footnote
Operating Partnership Units
2018-10-15
5
G
0
165000
0.00
D
2014-10-07
Class A Common stock
165000
163717
I
See footnote
Operating Partnership Units
2018-10-15
5
G
0
165000
0.00
A
2014-10-07
Class A Common Stock
165000
165000
I
See footnote
OP Units
2014-10-07
Class A Common stock
162162
162162
I
See footnote
Represents units of limited partnership interests ("OP Units") of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units 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, at the Issuer's option. The right to redeem OP Units does not have an expiration date.
These acquired and now indirectly held Operating Partnership Units were previously reported by the reporting person as directly held LTIP Units, were thereafter converted to directly held Operating Partnership Units as described in footnote 1, and then were transferred to the Trust described in footnote 4.
Reflects minor adjustments in the total ownership of Operating Partnership Units due to ministerial error.
Held by the Thomas N. Keltner, Jr. Revocable Trust dtd February 23, 2008, for which the reporting person is trustee.
Gift of OP Units to daughters and grandchildren, who do not share the reporting person's household.
Held by the Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is the trustee.
Held by the Paula S. Keltner Family Trust, 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 trustees.
Bart S. Goldstein, Attorney-in-Fact
2019-02-04