X0306 5 2019-12-31 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 FL. NEW YORK NY 10120 0 1 0 0 EVP, Gen. Counsel and Sec Operating Partnership Units 2019-05-09 5 G 0 39760 0.00 A Class A Common Stock 39760 242627 I See footnotes Operating Partnership Units 2019-08-12 5 G 0 1000 0.00 D Class A Common Stock 1000 241627 I See footnote Operating Partnership Units 2019-08-12 5 G 0 1000 0.00 D Class A Common Stock 1000 240627 I See footnote Operating Partnership Units 2019-08-12 5 G 0 1000 0.00 D Class A Common Stock 1000 239627 I See footnote Operating Partnership Units 2019-08-12 5 G 0 1000 0.00 D Class A Common Stock 1000 238627 I See footnote Operating Partnership Units 2019-08-12 5 G 0 2000 0.00 D Class A Common Stock 2000 236627 I See footnote Operating Partnership Units Class A Common Stock 163717 163717 I See footnote Operating Partnership Units Class A Common Stock 162162 162162 I See footnote Operating Partnership Units Class A Common Stock 165000 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. These Operating Partnership Units were initially granted to Mr. Keltner as long-term incentive plan units ("LTIP Units") under the First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan as follows: 10,053 LTIP Units on February 18, 2015, 18,770 LTIP Units on February 29, 2016 and 10,937 LTIP Units on March 17, 2017. 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 Operating Partnership Units, which 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 of Class A Common Stock, at the Issuer's option, as described in footnote 1. (Continued from Footnote 2) Mr. Keltner subsequently converted the LTIP Units to Operating Partnership Units and transferred the Operating Partnership Units to the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008 described in footnote 4. Held by the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee. Gift of Operating Partnership Units to daughters and grandchildren, who do not share the reporting person's household. 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 is the trustee. /s/ Bart S. Goldstein, Attorney-in-Fact 2020-01-16