0001541401-23-000002.txt : 20230110 0001541401-23-000002.hdr.sgml : 20230110 20230110172818 ACCESSION NUMBER: 0001541401-23-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230110 DATE AS OF CHANGE: 20230110 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: 23522003 MAIL ADDRESS: STREET 1: C/O EMPIRE STATE REALTY TRUST, INC. STREET 2: 111 WEST 33RD STREET, 12TH FLOOR 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: 212-850-2600 MAIL ADDRESS: STREET 1: 111 WEST 33RD STREET, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10120 5 1 wf-form5_167338968178193.xml FORM 5 X0306 5 2022-12-31 1 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 and General Counsel Operating Partnership Units 2022-10-25 5 G 0 2500 0 D Class A Common Stock 2500.0 217627 I See footnote Operating Partnership Units 2022-10-25 5 G 0 2500 0 D Class A Common Stock 2500.0 215127 I See footnote Operating Partnership Units 2022-10-25 5 G 0 2000 0 D Class A Common Stock 2000.0 213127 I See footnote Operating Partnership Units 2022-10-25 5 G 0 2000 0 D Class A Common Stock 2000.0 211127 I See footnote Operating Partnership Units 2022-10-25 5 G 0 2000 0 D Class A Common Stock 2000.0 209127 I See footnote Operating Partnership Units Class A Common Stock 163717.0 163717 I See Footnote Operating Partnership Units Class A Common Stock 162162.0 162162 I See footnote Operating Partnership Units Class A Common Stock 165000.0 165000 I See footnote Represents units of limited partnership interest ("Operating Partnership Units") of Empire State Realty OP, L.P., of which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Operating Partnership Units are redeemable by the holder for shares of Class A common stock of the Issuer ("Class A Common Stock") on a one-for-one basis or the cash value of such shares of Class A Common Stock, at the Issuer's option. The right to redeem Operating Partnership Units does not have an expiration date. Gift of Operating Partnership Units to daughters and grandchildren, who do not share the reporting person's household. Held by the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee. Held by the Paula S. Keltner Revocable Trust dated March 1, 2008, 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 the trustees. Held by the Paula S. Keltner Family Trust, for which the reporting person's wife is the trustee. Thomas N. Keltner, Jr. retired as an officer of the Issuer effective December 31, 2022. /s/ Heather L. Houston, Attorney-in-Fact 2023-01-10