0001541401-22-000009.txt : 20220316 0001541401-22-000009.hdr.sgml : 20220316 20220316170637 ACCESSION NUMBER: 0001541401-22-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220315 FILED AS OF DATE: 20220316 DATE AS OF CHANGE: 20220316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chiu Christina CENTRAL INDEX KEY: 0001810636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36105 FILM NUMBER: 22745685 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 4 1 wf-form4_164746477958035.xml FORM 4 X0306 4 2022-03-15 0 0001541401 Empire State Realty Trust, Inc. ESRT 0001810636 Chiu Christina C/O EMPIRE STATE REALTY TRUST, INC. 111 WEST 33RD STREET, 12TH FL. NEW YORK NY 10120 0 1 0 0 EVP and CFO LTIP Units 2022-03-15 4 A 0 58064 0 A Class A Common Stock 58064.0 234969 D LTIP Units 2022-03-15 4 A 0 112612 0 A Class A Common Stock 112612.0 347581 D LTIP Units 2022-03-15 4 A 0 102324 0 A Class A Common Stock 102324.0 449905 D These represent 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 were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan. These LTIP Units vest ratably on each of the first four anniversaries of January 1, 2022, subject to continued employment through such dates. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit. These LTIP Units vest 30% on January 1, 2025, 30% on January 1, 2026 and 40% on January 1, 2027, subject to continued employment through such dates. Each of the LTIP Units is subject to a holding period for four years following the grant date of such LTIP Unit. These LTIP Units vest ratably on each of the first three anniversaries of January 1, 2022, subject to continued employment through such dates, and are issued in connection with the Reporting Person's election to receive LTIP Units in lieu of the Reporting Person's 2021 cash annual incentive bonus. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit. /s/ Heather Lawson Houston (f/k/a Heather M. Lawson), Attorney-in-Fact 2022-03-16