Thomas N. Keltner - 31 Dec 2022 Form 5 Insider Report for Empire State Realty Trust, Inc. (ESRT)

Role
EVP and General Counsel
Signature
/s/ Heather L. Houston, Attorney-in-Fact
Issuer symbol
ESRT
Transactions as of
31 Dec 2022
Net transactions value
$0
Form type
5
Filing time
10 Jan 2023, 16:28:18 UTC
Previous filing
16 Mar 2022
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ESRT Operating Partnership Units Gift $0 -2,500 -1.1% $0.000000 217,627 25 Oct 2022 Class A Common Stock 2,500 See footnote F1, F2, F3
transaction ESRT Operating Partnership Units Gift $0 -2,500 -1.1% $0.000000 215,127 25 Oct 2022 Class A Common Stock 2,500 See footnote F1, F2, F3
transaction ESRT Operating Partnership Units Gift $0 -2,000 -0.93% $0.000000 213,127 25 Oct 2022 Class A Common Stock 2,000 See footnote F1, F2, F3
transaction ESRT Operating Partnership Units Gift $0 -2,000 -0.94% $0.000000 211,127 25 Oct 2022 Class A Common Stock 2,000 See footnote F1, F2, F3
transaction ESRT Operating Partnership Units Gift $0 -2,000 -0.95% $0.000000 209,127 25 Oct 2022 Class A Common Stock 2,000 See footnote F1, F2, F3
holding ESRT Operating Partnership Units 163,717 31 Dec 2022 Class A Common Stock 163,717 See Footnote F1, F4
holding ESRT Operating Partnership Units 162,162 31 Dec 2022 Class A Common Stock 162,162 See footnote F1, F5
holding ESRT Operating Partnership Units 165,000 31 Dec 2022 Class A Common Stock 165,000 See footnote F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Thomas N. Keltner is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Represents units of limited partnership interest ("Operating Partnership Units") of Empire State Realty OP, L.P., of which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Operating Partnership Units are redeemable by the holder for shares of Class A common stock of the Issuer ("Class A Common Stock") on a one-for-one basis or the cash value of such shares of Class A Common Stock, at the Issuer's option. The right to redeem Operating Partnership Units does not have an expiration date.
F2 Gift of Operating Partnership Units to daughters and grandchildren, who do not share the reporting person's household.
F3 Held by the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee.
F4 Held by the Paula S. Keltner Revocable Trust dated March 1, 2008, for which the reporting person's wife is the trustee.
F5 Held by the Thomas N. Keltner, Jr. Family Trust, for which the reporting person's wife and sister are the trustees.
F6 Held by the Paula S. Keltner Family Trust, for which the reporting person's wife is the trustee.

Remarks:

Thomas N. Keltner, Jr. retired as an officer of the Issuer effective December 31, 2022.