0001209191-19-020952.txt : 20190322 0001209191-19-020952.hdr.sgml : 20190322 20190322120828 ACCESSION NUMBER: 0001209191-19-020952 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190320 FILED AS OF DATE: 20190322 DATE AS OF CHANGE: 20190322 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: 19699030 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-03-20 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 2019-03-20 4 J 0 3759 0.00 D Class A Common Stock 3759 0 D LTIP Units 2019-03-20 4 A 0 6408 0.00 A Class A Common Stock 6408 44597 D These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, 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 granted on February 29, 2016 and were scheduled to vest based on the achievement of certain performance criteria relating to the Issuer's total return to the shareholders during a three-year performance period ending December 31, 2018. These units were forfeited due to failure to satisfy such performance criteria as of December 31, 2018. These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2019, subject to continued employment through such dates. /s/ Bart S. Goldstein, Attorney-in-Fact 2019-03-22