Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-20-009219
Date:2020-03-19
Issuer: EMPIRE STATE REALTY TRUST, INC. (ESRT)
Original Submission Date:

Reporting Person:

KESSLER JOHN B
C/O EMPIRE STATE REALTY TRUST, INC.
111 WEST 33RD STREET, 12TH FL. NEW YORK, NY 10120

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
LTIP UNITS 0.0 2020-03-19 deemed execution date A 23,049 (a) class a common stock 23,049 $0.00 564,151 direct
Footnotes
IDfootnote
f1 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.
f2 these represent fully vested ltip units issued, pursuant to the issuer's empire state realty trust, inc. empire state realty op, l.p. 2019 equity incentive plan, in connection with an annual incentive bonus compensation election made by the reporting person.
f3 each of the ltip units is subject to a holding period of two years following the grant date.
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