0001541401-14-000018.txt : 20140717 0001541401-14-000018.hdr.sgml : 20140717 20140717183340 ACCESSION NUMBER: 0001541401-14-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140715 FILED AS OF DATE: 20140717 DATE AS OF CHANGE: 20140717 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: ONE GRAND CENTRAL PLACE STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 BUSINESS PHONE: 212-953-0888 MAIL ADDRESS: STREET 1: ONE GRAND CENTRAL PLACE STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Keltner Thomas N. CENTRAL INDEX KEY: 0001587458 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 14981348 MAIL ADDRESS: STREET 1: C/O EMPIRE STATE REALTY TRUST, INC. STREET 2: 60 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10165 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-07-15 0001541401 Empire State Realty Trust, Inc. ESRT 0001587458 Keltner Thomas N. C/O EMPIRE STATE REALTY TRUST, INC. ONE GRAND CENTRAL PL, 60 EAST 42ND ST. NEW YORK NY 10165 0 1 0 0 EVP, General Counsel and Sec. Operating Partnership Units 2014-02-11 4 G 0 311760 0 D 2014-10-07 Class A Common Stock 311760 128740 I See footnote Operating Partnership Units 2014-05-21 4 G 0 37500 0 D 2014-10-07 Class A Common Stock 37500 91240 I See footnote Operating Partnership Units 2014-07-15 4 A 0 120387 0 A 2015-07-15 Class A Common Stock 120387 211627 I See footnote Operating Partnership Units 2014-07-16 4 G 0 57500 0 D 2014-10-07 Class A Common Stock 57500 154127 I See footnote Operating Partnership Units 2014-07-17 4 A 0 0 D Class A Common Stock 328717 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. Gift of OP Units to Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is trustee. Gift of OP Units to daughters, who do not share the reporting person's household. OP units held indirectly by the Thomas N. Keltner, Jr. Revocable Trust dtd February 23, 2008, for which the reporting person is trustee. Represents OP Units received by the reporting person in connection with option properties transactions. Disregard entries in the fifth row for columns 2, 3, 4, 5, 6, 7 and 8, which entries were provided solely to allow transmission of fifth row information for rows 9, 10, and 11. Held by the Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is the trustee. Thomas N. Keltner, Jr. 2014-07-17