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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Operating Partnership Units (1) | Â | 11/17/2017 | Â | G | Â | 1,000 (2) | 10/07/2014 | Â (1) | Class A Common Stock | $ 0 | 151,402 | See Footnote (3) | ||
Operating Partnership Units (1) | Â | 11/17/2017 | Â | G | Â | 1,000 (2) | 10/07/2014 | Â (1) | Class A Common Stock | $ 0 | 150,402 | See Footnote (3) | ||
Operating Partnership Units (1) | Â | 11/17/2017 | Â | G | Â | 1,000 (2) | 10/07/2014 | Â (1) | Class A Common Stock | $ 0 | 149,402 | See Footnote (3) | ||
Operating Partnership Units (1) | Â | 11/17/2017 | Â | G | Â | 1,000 (2) | 10/07/2014 | Â (1) | Class A Common Stock | $ 0 | 148,402 | See Footnote (3) | ||
Operating Partnership Units (1) | Â | Â | Â | Â | Â | Â | 10/07/2014 | Â (1) | Class A Common Stock | Â | 328,717 | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Keltner Thomas N. C/O EMPIRE STATE REALTY TRUST, INC. 111 WEST 33RD STREET, 12TH FLOOR NEW YORK, NY 10120 |
 |  |  EVP, Gen. Counsel and Sec. |  |
/s/ Debra E. Levin, Attorney-in-Fact | 02/14/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents 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. |
(2) | Gift of OP Units to daughters and grandchildren, who do not share the reporting person's household. |
(3) | OP units held indirectly by the Thomas N. Keltner, Jr. Revocable Trust dtd February 23, 2008, for which the reporting person is trustee. |
(4) | Held by the Paula S. Keltner Revocable Trust dtd March 1, 2008, for which the reporting person's wife is the trustee. |