DEROSA THOMAS J

SEC source: 0001541401-24-000010 · wk-form4_1715630788.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,891

Underlying: Class A Common Stock · 13,408 shares

Expires not disclosed

F1 · security: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_price: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F2 · derivative.exercise_date: These LTIP Units vest ratably on each of the first four anniversaries of the date of grant. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

SEC source: 0001541401-23-000006 · wf-form4_168418213272886.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,483

Underlying: Class A Common Stock · 23,232 shares

Expires not disclosed

F1 · security: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F2 · derivative.exercise_date: These LTIP Units vest ratably on each of the first four anniversaries of the date of grant. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

SEC source: 0001628280-22-014685 · wf-form4_165283029669115.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,251

Underlying: Class A Common Stock · 16,156 shares

Expires not disclosed

F1 · security: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F2 · derivative.exercise_date: These LTIP Units vest ratably on each of the first four anniversaries of the date of grant. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

SEC source: 0001541401-21-000050 · wf-form4_162275162470056.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,095

Underlying: Class A Common Stock · 10,516 shares

Expires not disclosed

F1 · security: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, and vest ratably on each of the first four anniversaries of the grant date.

F1 · derivative.exercise_price: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, and vest ratably on each of the first four anniversaries of the grant date.

F1 · derivative.exercise_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, and vest ratably on each of the first four anniversaries of the grant date.

F2 · derivative.exercise_date: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: 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. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, and vest ratably on each of the first four anniversaries of the grant date.

SEC source: 0000899243-20-013450 · doc4.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,579

Underlying: Class A Common Stock · 19,017 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

SEC source: 0001209191-20-010684 · doc4.xml · derivative · entry 4

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,896

Underlying: Common · 48,951 shares

Expires 2020-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: These deferred stock units were granted without cash consideration on April 13, 2017, under the Welltower Inc. 2016 Long-Term Incentive Plan and the 2017-2019 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 48,951 units having vested on February 14, 2020, 48,951 units vesting on December 31, 2020 and 48,945 units vesting on December 31, 2021.

F3 · derivative.exercise_date: These deferred stock units were granted without cash consideration on April 13, 2017, under the Welltower Inc. 2016 Long-Term Incentive Plan and the 2017-2019 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 48,951 units having vested on February 14, 2020, 48,951 units vesting on December 31, 2020 and 48,945 units vesting on December 31, 2021.

F3 · derivative.expiration_date: These deferred stock units were granted without cash consideration on April 13, 2017, under the Welltower Inc. 2016 Long-Term Incentive Plan and the 2017-2019 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 48,951 units having vested on February 14, 2020, 48,951 units vesting on December 31, 2020 and 48,945 units vesting on December 31, 2021.

F4 · derivative.underlying_shares: The reported transaction was a vesting of 48,951 deferred stock units on February 14, 2020, resulting in the issuance of 48,951 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F3 · balance_after: These deferred stock units were granted without cash consideration on April 13, 2017, under the Welltower Inc. 2016 Long-Term Incentive Plan and the 2017-2019 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 48,951 units having vested on February 14, 2020, 48,951 units vesting on December 31, 2020 and 48,945 units vesting on December 31, 2021.

SEC source: 0001209191-20-010684 · doc4.xml · nonDerivative · entry 3

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,558

F2 · shares: These shares represent restricted stock units that were granted without cash consideration on February 14, 2020 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2020-2022 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2021, January 15, 2022, January 15, 2023 and January 15, 2024.

F2 · price: These shares represent restricted stock units that were granted without cash consideration on February 14, 2020 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2020-2022 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2021, January 15, 2022, January 15, 2023 and January 15, 2024.

SEC source: 0001209191-20-010684 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,362

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-20-010684 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,415

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-004044 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,464

F1 · shares: Shares withheld upon vesting of restricted stock to satisfy tax withholding obligations.

SEC source: 0001209191-20-001130 · doc4.xml · derivative · entry 6

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,926

Underlying: Commom · 10,925 shares

Expires 2019-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units having vested on December 31, 2019.

F4 · derivative.exercise_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units having vested on December 31, 2019.

F4 · derivative.expiration_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units having vested on December 31, 2019.

F5 · derivative.underlying_shares: The reported transaction was a vesting of 10,925 deferred stock units on December 31, 2019, resulting in the issuance of 10,925 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F4 · balance_after: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units having vested on December 31, 2019.

SEC source: 0001209191-20-001130 · doc4.xml · derivative · entry 5

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,120

Underlying: Common · 36,125 shares

Expires 2019-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units having vested on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F2 · derivative.exercise_date: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units having vested on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F2 · derivative.expiration_date: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units having vested on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F3 · derivative.underlying_shares: The reported transaction was a vesting of 36,125 deferred stock units on December 31, 2019, resulting in the issuance of 36,125 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F2 · balance_after: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units having vested on December 31, 2019 and 36,120 units vesting on December 31, 2020.

SEC source: 0001209191-20-001130 · doc4.xml · nonDerivative · entry 4

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,145

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-20-001130 · doc4.xml · nonDerivative · entry 3

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,121

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-20-001130 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,196

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-20-001130 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,451

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-059666 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,326

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Welltower Inc. Employee Stock Purchase Plan ("ESPP"). This transaction was exempt under Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: In accordance with the ESPP these shares were purchased based on 85% of the closing stock price on June 3, 2019, the first trading day of the offering period.

SEC source: 0001209191-19-045126 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,179

SEC source: 0001209191-19-045126 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,829

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common pursuant to the Welltower Inc. Employee Stock Purchase Plan ("ESPP"). This transaction was exempt under Rule 16b-3(d) and Rule 16b-3(c).

F2 · shares: In accordance with the ESPP these shares were purchased based on 85% of the closing stock price on May 31, 2019, the last trading day of the offering period.

SEC source: 0000899243-19-014173 · doc4.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,562

Underlying: Class A Common Stock · 13,605 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

SEC source: 0001209191-19-030075 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,651

F1 · price: This transaction was executed in multiple trades at prices ranging from $77.78 to $78.035. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-19-027796 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,958

SEC source: 0001209191-19-011214 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,036

F1 · shares: These shares represent restricted stock units that were granted without cash consideration on February 14, 2019 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2019-2021 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2020, January 15, 2021, January 15, 2022 and January 15, 2023.

F1 · price: These shares represent restricted stock units that were granted without cash consideration on February 14, 2019 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2019-2021 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2020, January 15, 2021, January 15, 2022 and January 15, 2023.

SEC source: 0001209191-19-009087 · doc4.xml · derivative · entry 3

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,245

Underlying: Common · 36,125 shares

Expires 2019-02-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units vesting on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F2 · derivative.exercise_date: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units vesting on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F2 · derivative.expiration_date: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units vesting on December 31, 2019 and 36,120 units vesting on December 31, 2020.

F3 · derivative.underlying_shares: The reported transaction was a vesting of 36,125 deferred stock units on February 7, 2019, resulting in the issuance of 36,125 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F2 · balance_after: These deferred stock units were granted without cash consideration on May 6, 2016, under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2016-2018 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 36,125 units having vested on February 7, 2019, 36,125 units vesting on December 31, 2019 and 36,120 units vesting on December 31, 2020.

SEC source: 0001209191-19-009087 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,960

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-19-009087 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,524

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-19-004332 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,399

F1 · shares: Shares withheld upon vesting of restricted stock to satisfy tax withholding obligations.

SEC source: 0001209191-19-001094 · doc4.xml · derivative · entry 3

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,925

Underlying: Common · 10,927 shares

Expires 2018-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units vesting on December 31, 2019.

F2 · derivative.exercise_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units vesting on December 31, 2019.

F2 · derivative.expiration_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units vesting on December 31, 2019.

F3 · derivative.underlying_shares: The reported transaction was a vesting of 10,927 deferred stock units on December 31, 2018, resulting in the issuance of 10,927 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F2 · balance_after: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,927 units having vested on December 31, 2018 and 10,925 units vesting on December 31, 2019.

SEC source: 0001209191-19-001094 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,673

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-19-001094 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,137

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-060117 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,210

SEC source: 0001209191-18-060117 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,210

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common pursuant to the Welltower Inc. Employee Stock Purchase Plan ("ESPP"). These transactions were both exempt under Rule 16b-3(d) and Rule 16b-3(c).

F2 · shares: In accordance with the ESPP these shares were purchased based on 85% of the closing stock price on May 31, 2018, the last trading day of the offering period.

SEC source: 0000899243-18-013691 · doc4.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,957

Underlying: Class A Common Stock · 12,500 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

SEC source: 0001209191-18-015631 · doc4.xml · derivative · entry 3

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,852

Underlying: Common · 10,927 shares

Expires 2018-02-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,926 units vesting on December 31, 2019 and 10,926 units vesting on December 31, 2020.

F2 · derivative.exercise_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,926 units vesting on December 31, 2019 and 10,926 units vesting on December 31, 2020.

F2 · derivative.expiration_date: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,926 units vesting on December 31, 2019 and 10,926 units vesting on December 31, 2020.

F3 · derivative.underlying_shares: The reported transaction was a vesting of 10,927 deferred stock units on February 28, 2018, resulting in the issuance of 10,927 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

F2 · balance_after: These deferred stock units were granted without cash consideration on August 6, 2015 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan and the 2015-2017 Long-Term Incentive Program. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments with 10,927 units having vested on February 28, 2018, 10,926 units vesting on December 31, 2019 and 10,926 units vesting on December 31, 2020.

SEC source: 0001209191-18-015631 · doc4.xml · nonDerivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,843

F1 · shares: Shares withheld upon vesting to satisfy tax withholding obligation.

SEC source: 0001209191-18-015631 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,854

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-011479 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,927

F1 · shares: These shares represent restricted stock units that were granted without cash consideration on February 15, 2018 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2018-2020 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2019, January 15, 2020, January 15, 2021 and January 15, 2022.

F1 · price: These shares represent restricted stock units that were granted without cash consideration on February 15, 2018 under the Welltower Inc. 2016 Long-Term Incentive Plan and 2018-2020 Long-Term Incentive Program. Each restricted stock unit will be settled in common stock upon vesting in four equal installments on January 15, 2019, January 15, 2020, January 15, 2021 and January 15, 2022.

SEC source: 0001209191-18-004102 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,769

F1 · shares: Shares withheld upon vesting of restricted stock to satisfy tax withholding obligation.

SEC source: 0001209191-18-000950 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,448

F1 · shares: Shares withheld upon vesting of restricted stock to satisfy tax withholding obligation.

SEC source: 0001209191-17-032631 · doc4.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,457

Underlying: Class A Common Stock · 9,694 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible 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. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

SEC source: 0001209191-17-027129 · doc4.xml · derivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,422

Underlying: Common · 14,422 shares

Expires not disclosed

F2 · derivative.exercise_price: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F2 · price: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F2 · derivative.exercise_date: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F2 · derivative.expiration_date: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F2 · derivative.underlying_shares: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

SEC source: 0001209191-17-027129 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,307

F1 · shares: Shares withheld upon vesting of restricted stock units to satisfy tax withholding obligation.

SEC source: 0001209191-17-050452 · doc4a.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,954

Underlying: Common · 9,954 shares

Expires not disclosed

F1 · derivative.exercise_price: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on April 17, 2017 reported the target shares as 14,422 shares due to a clerical error.

F1 · price: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on April 17, 2017 reported the target shares as 14,422 shares due to a clerical error.

F1 · derivative.exercise_date: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on April 17, 2017 reported the target shares as 14,422 shares due to a clerical error.

F1 · derivative.expiration_date: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on April 17, 2017 reported the target shares as 14,422 shares due to a clerical error.

F1 · derivative.underlying_shares: The performance-based restricted stock units granted under the Welltower Inc. 2016 Long-Term Incentive Plan are target shares as defined in the 2017-2019 Long-Term Incentive Program. Final shares amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on April 17, 2017 reported the target shares as 14,422 shares due to a clerical error.

SEC source: 0001209191-17-008694 · doc4.xml · derivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 562 shares

Expires 2017-02-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: These deferred stock units were granted without cash consideration on February 6, 2014 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments, with 563 units having vested on February 6 of each of 2015 and 2016 and 562 units having vested on February 6, 2017.

F2 · price: These deferred stock units were granted without cash consideration on February 6, 2014 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments, with 563 units having vested on February 6 of each of 2015 and 2016 and 562 units having vested on February 6, 2017.

F2 · derivative.exercise_date: These deferred stock units were granted without cash consideration on February 6, 2014 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments, with 563 units having vested on February 6 of each of 2015 and 2016 and 562 units having vested on February 6, 2017.

F2 · derivative.expiration_date: These deferred stock units were granted without cash consideration on February 6, 2014 under the Amended and Restated Welltower Inc. 2005 Long-Term Incentive Plan. Each deferred stock unit represents a right to receive one share of common stock of Welltower Inc. at the time of vesting of the unit. These deferred stock units vest in three installments, with 563 units having vested on February 6 of each of 2015 and 2016 and 562 units having vested on February 6, 2017.

F1 · derivative.underlying_shares: The reported transaction was a vesting of 562 deferred stock units on February 6, 2017, resulting in the issuance of 562 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

SEC source: 0001209191-17-008694 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,446

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The reported transaction was a vesting of 562 deferred stock units on February 6, 2017, resulting in the issuance of 562 shares of common stock. No amount was payable in connection with the vesting or the common stock issuance.

SEC source: 0001209191-17-003930 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,884

SEC source: 0001209191-17-000226 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,263

SEC source: 0001209191-16-118461 · doc4.xml · derivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,691

Underlying: Common · 19,691 shares

Expires not disclosed

F1 · derivative.exercise_price: The performance-based restricted stock units granted under the Amended and Restated Welltower 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F1 · price: The performance-based restricted stock units granted under the Amended and Restated Welltower 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F1 · derivative.exercise_date: The performance-based restricted stock units granted under the Amended and Restated Welltower 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F1 · derivative.expiration_date: The performance-based restricted stock units granted under the Amended and Restated Welltower 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

F1 · derivative.underlying_shares: The performance-based restricted stock units granted under the Amended and Restated Welltower 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock.

SEC source: 0001209191-17-057493 · doc4a.xml · derivative · entry 2

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,166

Underlying: Common · 13,166 shares

Expires not disclosed

F2 · derivative.exercise_price: The performance-based restricted stock units granted under the Welltower Inc. Amended and Restated 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on May 9, 2016 reported the target shares as 19,691 shares due to a clerical error.

F2 · price: The performance-based restricted stock units granted under the Welltower Inc. Amended and Restated 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on May 9, 2016 reported the target shares as 19,691 shares due to a clerical error.

F2 · derivative.exercise_date: The performance-based restricted stock units granted under the Welltower Inc. Amended and Restated 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on May 9, 2016 reported the target shares as 19,691 shares due to a clerical error.

F2 · derivative.expiration_date: The performance-based restricted stock units granted under the Welltower Inc. Amended and Restated 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on May 9, 2016 reported the target shares as 19,691 shares due to a clerical error.

F2 · derivative.underlying_shares: The performance-based restricted stock units granted under the Welltower Inc. Amended and Restated 2005 Long-Term Incentive Plan are target shares as defined in the 2016-2018 Long-Term Incentive Program. Final share amounts will be determined at the conclusion of the performance period based on the Company's total shareholder return as determined by the Compensation Committee of the Board of Directors. Each restricted stock unit represents the right to receive one share of HCN's common stock. The original Form 4 filed on May 9, 2016 reported the target shares as 19,691 shares due to a clerical error.

SEC source: 0001209191-16-114220 · doc4.xml · nonDerivative · entry 1

DEROSA THOMAS J · CIK 0001215328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,314