0001209191-17-049454.txt : 20170817
0001209191-17-049454.hdr.sgml : 20170817
20170817174222
ACCESSION NUMBER: 0001209191-17-049454
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170815
FILED AS OF DATE: 20170817
DATE AS OF CHANGE: 20170817
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: 171039518
MAIL ADDRESS:
STREET 1: C/O EMPIRE STATE REALTY TRUST, INC.
STREET 2: 111 WEST 33RD STREET
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: 212-953-0888
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
2017-08-15
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, Gen. Counsel and Sec.
Operating Partnership Units
2017-08-15
4
J
0
6275
A
Class A Common Stock
6275
152402
I
See footnote
Represents 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.
Represents the balance of consideration due to the reporting person in connection with the Issuer's acquisition, on July 15, 2014, of the ground
and operating leases at 112 West 34th St. and the ground lease at 1400 Broadway. Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee, was an investor in the entities that previously owned these leases and delivery of a portion of the consideration payable to such investors by the Issuer at closing was
deferred for a three-year period pending resolution of any contingencies. Absent any contingencies, this portion of the consideration has now been released. Shares of the
Issuer's common stock and OP Units were issued at $16.65 per share/unit in connection with the closing of the transaction on July 15, 2014.
OP units held indirectly through the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee.
/s/ Debra E. Levin, Attorney-in-Fact
2017-08-17