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