Keltner Thomas N. 5

5 · Empire State Realty Trust, Inc. · Filed Feb 9, 2021

Form 5

Period: 2020-12-31

See Remarks

Transactions

Gift
Operating Partnership Units
2020-12-09−1,000→ 232,627 total(indirect: See footnote)
→ Class A Common Stock (1,000 underlying)
Gift
Operating Partnership Units
2020-12-09−2,000→ 230,627 total(indirect: See footnote)
→ Class A Common Stock (2,000 underlying)
Gift
Operating Partnership Units
2020-12-09−1,000→ 235,627 total(indirect: See footnote)
→ Class A Common Stock (1,000 underlying)
Gift
Operating Partnership Units
2020-12-09−1,000→ 234,627 total(indirect: See footnote)
→ Class A Common Stock (1,000 underlying)
Gift
Operating Partnership Units
2020-12-09−1,000→ 233,627 total(indirect: See footnote)
→ Class A Common Stock (1,000 underlying)

Holdings

Operating Partnership Units
(indirect: See footnote)
→ Class A Common Stock (162,162 underlying)
162,162
Operating Partnership Units
(indirect: See footnote)
→ Class A Common Stock (165,000 underlying)
165,000
Operating Partnership Units
(indirect: See Footnote)
→ Class A Common Stock (163,717 underlying)
163,717

Footnotes (6)

[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 dtd March 1, 2008, for which the reporting person's wife is the trustee.
[F5]Held by the Paula S. Keltner Family Trust, for which the reporting person is the trustee.
[F6]Held by the Thomas N. Keltner, Jr. Family Trust, for which the reporting person's wife and sister are the trustees.

Documents

2 files