0001209191-16-117657.txt : 20160505
0001209191-16-117657.hdr.sgml : 20160505
20160505100354
ACCESSION NUMBER: 0001209191-16-117657
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160229
FILED AS OF DATE: 20160505
DATE AS OF CHANGE: 20160505
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: MALKIN ANTHONY E
CENTRAL INDEX KEY: 0001076484
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36105
FILM NUMBER: 161622053
MAIL ADDRESS:
STREET 1: C/O W&M PROPERTIES
STREET 2: METRO CENTER, ONE STATION PLACE
CITY: STAMFORD
STATE: CT
ZIP: 06902
4/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2016-02-29
2016-03-02
0
0001541401
Empire State Realty Trust, Inc.
ESRT
0001076484
MALKIN ANTHONY E
C/O EMPIRE STATE REALTY TRUST, INC.
ONE GRAND CENTRAL PL., 60 E. 42ND ST.
NEW YORK
NY
10165
1
1
0
0
Chairman and CEO
LTIP Units
2016-02-29
4
A
0
171717
0.00
A
Class A Common Stock
171717
352625
D
LTIP Units
2016-02-29
4
A
0
137683
0.00
A
Class A Common Stock
137683
137683
D
Represents 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 vest 25% ratably on each of the first four anniversaries of January 1, 2016, subject to continued employment through such dates.
This Form 4 amends the original Form 4 filed on March 2, 2016 to conform to the approved grant and to reflect updated Monte Carlo simulation results subsequently received from an independent compensation consultant with respect to the grant date fair value of the LTIP Units.
These LTIP Units are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's total return to shareholders during a three-year performance period ending December 31, 2018. Any earned LTIP units will vest 50% on January 1, 2019 and 50% on January 1, 2020, subject to continued employment. In accordance with applicable Form 4 reporting requirements, the foregoing excludes 413,049 LTIP Units also granted on February 29, 2016 that are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's relative total return to shareholders measured against two different industry-specific indices.
/s/ Debra E. Levin, Attorney-in-Fact
2016-05-05