SEC Form 5 · accession 0001209191-17-009980
Empire State Realty Trust, Inc. · ESRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony E Malkin
Officer — Chairman and CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 4:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001541401
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Dec 15, 2016 | G | 200,883 | $0.00 | D | 0 | D | |
| Class A Common StockF2 | holding | — | — | — | 9,406 | I | By: Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Year-end gift of shares of Class A common stock to Mr. Malkin and his spouse's non-profit foundation.
- F2The reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.