Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
EMPIRE STATE REALTY TRUST, INC.
Jurisdiction of Incorporation/Organization
MA
Year of Incorporation/Organization
2011
Previous Name(s)
- 123 HOLDING CORP
- EMPIRE REALTY TRUST, INC.
Item 2 Issuer Principal Place of Business and Contact Information
ONE GRAND CENTRAL PLACE
60 EAST 42ND STREET
NEW YORK, NY 10165
Phone Number:
subscription required
Item 3. Related Persons
Name
ANTHONY E. MALKIN
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER AND PRESIDENT
Item 3. Related Persons
Name
DAVID A. KARP
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER
Item 3. Related Persons
Name
THOMAS P. DURELS
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF OF PROPERTY OPERATIONS AND LEASING
Item 3. Related Persons
Name
THOMAS N. KELTNER, JR.
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
Item 3. Related Persons
Name
WILLIAM H. BERKMAN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ALICE M. CONNELL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS J. DEROSA
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
STEVEN J. GILBERT
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
S. MICHAEL GILIBERTO
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LAWRENCE E. GOLUB
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
REITS AND FINANCE
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
10/07/2013
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
Yes
Clarification of Response
IN CONNECTION WITH ITS IPO, THE ISSUER CONSUMMATED CERTAIN FORMATION TRANSACTIONS, RESULTING IN THE ISSUANCE OF SHARES OF CLASS A AND CLASS B COMMON STOCK OF THE ISSUER
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
64078638
Total Amount Sold
64078638
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
766
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
EMPIRE STATE REALTY TRUST, INC.
Issuer Signature
/S/ DAVID A. KARP
Signer Name
DAVID A. KARP
Signer Title
EXECUTIVE VP, CFO TREASURER
Signature Date
10/21/2013