# EDGAR Filing Document

**Accession Number:** 0001587458
**File Stem:** 0001541401-23-000002
**Filing Date:** 2023-1
**Character Count:** 8291
**Document Hash:** 617d88dc3e1e64088f1c9b8a9754947a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001541401-23-000002.hdr.sgml**: 20230110

**ACCESSION NUMBER**: 0001541401-23-000002

**CONFORMED SUBMISSION TYPE**: 5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230110

**DATE AS OF CHANGE**: 20230110

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Keltner Thomas N.
- **CENTRAL INDEX KEY:** 0001587458

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36105
- **FILM NUMBER:** 23522003

**MAIL ADDRESS:**
- **STREET 1:** C/O EMPIRE STATE REALTY TRUST, INC.
- **STREET 2:** 111 WEST 33RD STREET, 12TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10120
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Empire State Realty Trust, Inc.
- **CENTRAL INDEX KEY:** 0001541401
- **STANDARD INDUSTRIAL CLASSIFICATION:** REAL ESTATE INVESTMENT TRUSTS [6798]
- **IRS NUMBER:** 371645259
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 111 WEST 33RD STREET, 12TH FL
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10120
- **BUSINESS PHONE:** 212-850-2600

**MAIL ADDRESS:**
- **STREET 1:** 111 WEST 33RD STREET, 12TH FL
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10120

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 5

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Keltner Thomas N.<br><sub>(Last) (First) (Middle)</sub><br>C/O EMPIRE STATE REALTY TRUST, INC.<br>111 WEST 33RD STREET, 12TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10120<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_EVP and General Counsel_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Empire State Realty Trust, Inc. [ ESRT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Operating Partnership Units | <sup>(1)</sup> | 2022-10-25 |  | G |  |  | 2500<sup>(2)</sup> | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2500.0 | $0 | 217627 | I | See footnote<sup>(3)</sup> |
| Operating Partnership Units | <sup>(1)</sup> | 2022-10-25 |  | G |  |  | 2500<sup>(2)</sup> | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2500.0 | $0 | 215127 | I | See footnote<sup>(3)</sup> |
| Operating Partnership Units | <sup>(1)</sup> | 2022-10-25 |  | G |  |  | 2000<sup>(2)</sup> | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2000.0 | $0 | 213127 | I | See footnote<sup>(3)</sup> |
| Operating Partnership Units | <sup>(1)</sup> | 2022-10-25 |  | G |  |  | 2000<sup>(2)</sup> | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2000.0 | $0 | 211127 | I | See footnote<sup>(3)</sup> |
| Operating Partnership Units | <sup>(1)</sup> | 2022-10-25 |  | G |  |  | 2000<sup>(2)</sup> | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 2000.0 | $0 | 209127 | I | See footnote<sup>(3)</sup> |
| Operating Partnership Units | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 163717.0 |  | 163717 | I | See Footnote<sup>(4)</sup> |
| Operating Partnership Units | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 162162.0 |  | 162162 | I | See footnote<sup>(5)</sup> |
| Operating Partnership Units | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | Class A Common Stock | 165000.0 |  | 165000 | I | See footnote<sup>(6)</sup> |

---

### Footnotes:

(1) 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.

(2) Gift of Operating Partnership Units to daughters and grandchildren, who do not share the reporting person's household.

(3) Held by the Thomas N. Keltner, Jr. Revocable Trust dated February 23, 2008, for which the reporting person is trustee.

(4) Held by the Paula S. Keltner Revocable Trust dated March 1, 2008, for which the reporting person's wife is the trustee.

(5) Held by the Thomas N. Keltner, Jr. Family Trust, for which the reporting person's wife and sister are the trustees.

(6) 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.

**Signature:** /s/ Heather L. Houston, Attorney-in-Fact  
**Date:** 2023-01-10

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**