SEC Form 5 · accession 0001209191-17-009986

Empire State Realty Trust, Inc. · ESRT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Gen. Counsel and Sec.

Period of report

Dec 31, 2016

Accepted (ET)

Feb 13, 2017 · 4:19 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001541401

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Operating Partnership Units^F1,F2,F3	—	Aug 24, 2016	G	1,000	D	Oct 7, 2014	—	Class A Common Stock	1,000	149,127	I
Operating Partnership Units^F1,F2,F3	—	Aug 24, 2016	G	1,000	D	Oct 7, 2014	—	Class A Common Stock	1,000	148,127	I
Operating Partnership Units^F1,F2,F3	—	Dec 15, 2016	G	1,000	D	Oct 7, 2014	—	Class A Common Stock	1,000	147,127	I
Operating Partnership Units^F1,F2,F3	—	Dec 15, 2016	G	1,000	D	Oct 7, 2014	—	Class A Common Stock	1,000	146,127	I
Operating Partnership Units^F1,F4	—	holding	—	—	—	Oct 7, 2014	—	Class A Common Stock	328,717	328,717	I

F1Represents units of limited partnership interests ("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.
F2Gift of OP Units to daughters and grandchildren, who do not share the reporting person's household.
F3OP units held indirectly by the Thomas N. Keltner, Jr. Revocable Trust dtd February 23, 2008, for which the reporting person is trustee.
F4Held by the Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is the trustee.