MALKIN ANTHONY E

SEC source: 0000899243-22-030805 · doc4.xml · nonDerivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 23,650

F1 · price: Represents the weighted average price of the shares purchased. The prices of the shares purchased pursuant to the transactions ranged from $15.12 to $15.35 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: These shares are held by a limited liability company, of which the Reporting Person is the manager, and the members of which include immediate family members of the Reporting Person, trusts for the benefit of the Reporting Person and his immediate family members, and entities owned or controlled by immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of the securities held by such limited liability company except to the extent of his pecuniary interest therein.

SEC source: 0000899243-22-030805 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,979

F1 · price: Represents the weighted average price of the shares purchased. The prices of the shares purchased pursuant to the transactions ranged from $15.12 to $15.35 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-22-023678 · doc4.xml · nonDerivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 6,300

F1 · price: Represents the weighted average price of the shares purchased. The prices of the shares purchased pursuant to the transactions ranged from $14.28 to $14.63 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: These shares are held by a limited liability company, of which the Reporting Person is the manager, and the members of which include trusts for the benefit of immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of the securities held by such limited liability company except to the extent of his pecuniary interest therein.

SEC source: 0000899243-22-023678 · doc4.xml · nonDerivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 18,900

F1 · price: Represents the weighted average price of the shares purchased. The prices of the shares purchased pursuant to the transactions ranged from $14.28 to $14.63 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: These shares are held by a limited liability company, of which the Reporting Person is the manager, and the members of which include immediate family members of the Reporting Person, trusts for the benefit of the Reporting Person and his immediate family members, and entities owned or controlled by immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of the securities held by such limited liability company except to the extent of his pecuniary interest therein.

SEC source: 0000899243-22-023678 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,396

F1 · price: Represents the weighted average price of the shares purchased. The prices of the shares purchased pursuant to the transactions ranged from $14.28 to $14.63 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-22-023111 · doc4.xml · derivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,266

Underlying: Common Stock · 6,266 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: These restricted stock units vest on the earlier of (i) June 15, 2023, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2023 annual meeting of stockholders.

F4 · derivative.expiration_date: These restricted stock units vest on the earlier of (i) June 15, 2023, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0000899243-22-023111 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,876 shares

Expires not disclosed

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F1 · price: On June 15, 2022, 4,876 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

F3 · derivative.exercise_date: These restricted stock units vest on the earlier of (i) July 14, 2022, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2022 annual meeting of stockholders.

F3 · derivative.expiration_date: These restricted stock units vest on the earlier of (i) July 14, 2022, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2022 annual meeting of stockholders.

SEC source: 0000899243-22-023111 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,796

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: On June 15, 2022, 4,876 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

SEC source: 0001541401-22-000015 · wf-form4_164746508139776.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,509,471

Underlying: Class A Common Stock · 218,511 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.

F3 · derivative.exercise_date: These LTIP Units vest ratably on each of the first three anniversaries of January 1, 2022, subject to continued employment through such dates, and are issued in connection with the Reporting Person's election to receive LTIP Units in lieu of the Reporting Person's 2021 cash annual incentive bonus. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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: 0001541401-22-000015 · wf-form4_164746508139776.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,290,960

Underlying: Class A Common Stock · 211,724 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 January 1, 2022, subject to continued employment through such dates. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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: 0000899243-21-028659 · doc4.xml · derivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,876

Underlying: Common Stock · 4,876 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: These restricted stock units vest on the earlier of (i) July 14, 2022, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2022 annual meeting of stockholders.

F4 · derivative.expiration_date: These restricted stock units vest on the earlier of (i) July 14, 2022, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2022 annual meeting of stockholders.

SEC source: 0000899243-21-028659 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,920 shares

Expires not disclosed

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F1 · price: On July 14, 2021, 6,920 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

F3 · derivative.exercise_date: These restricted stock units vest on the earlier of (i) August 13, 2021, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2021 annual meeting of stockholders.

F3 · derivative.expiration_date: These restricted stock units vest on the earlier of (i) August 13, 2021, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0000899243-21-028659 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,920

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: On July 14, 2021, 6,920 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

SEC source: 0001541401-21-000018 · wf-form4_161599531315395.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,079,236

Underlying: Class A Common Stock · 137,042 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.

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.

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.

F3 · derivative.exercise_date: These LTIP Units vest ratably on each of the first three anniversaries of January 1, 2021, subject to continued employment through such dates, and are issued in connection with the Reporting Person's election to receive LTIP Units in lieu of his 2020 cash annual incentive bonus. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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.

SEC source: 0001541401-21-000018 · wf-form4_161599531315395.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,942,194

Underlying: Class A Common Stock · 193,338 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.

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.

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.

F2 · derivative.exercise_date: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2021, subject to continued employment through such dates. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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.

SEC source: 0000899243-20-027337 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F1 · price: On October 1, 2020, 10,000 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

F3 · derivative.exercise_date: These restricted stock units vested on October 1, 2020, which was the one-year anniversary of the grant date.

F3 · derivative.expiration_date: These restricted stock units vested on October 1, 2020, which was the one-year anniversary of the grant date.

SEC source: 0000899243-20-027337 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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: On October 1, 2020, 10,000 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock.

SEC source: 0000899243-20-022581 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,920

Underlying: Common Stock · 6,920 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: These restricted stock units vest on the earlier of (i) August 13, 2021, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2021 annual meeting of stockholders.

F3 · derivative.expiration_date: These restricted stock units vest on the earlier of (i) August 13, 2021, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0000899243-20-009218 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,748,856

Underlying: Class A Common Stock · 350,631 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.

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.

F2 · shares: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2020, subject to continued employment through such dates, issued pursuant to the Issuer's Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, in connection with an annual incentive bonus compensation election made by the reporting person.

F3 · shares: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

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.

F2 · derivative.exercise_date: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2020, subject to continued employment through such dates, issued pursuant to the Issuer's Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan, in connection with an annual incentive bonus compensation election made by the reporting person.

F3 · derivative.exercise_date: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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.

SEC source: 0000899243-20-008674 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,398,225

Underlying: Class A Common Stock · 362,086 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.

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.

F3 · shares: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

F4 · shares: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2020, subject to continued employment through such dates.

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.

F3 · derivative.exercise_date: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

F4 · derivative.exercise_date: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2020, subject to continued employment through such dates.

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.

SEC source: 0000899243-20-008674 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 87,906 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.

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.

F2 · kind: These LTIP Units were granted on March 17, 2017 and were scheduled to vest based on the achievement of certain performance criteria relating to the Issuer's total return to the shareholders during a three-year performance period ending December 31, 2019. These units were forfeited due to failure to satisfy such performance criteria as of December 31, 2019.

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.

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.

SEC source: 0001209191-19-020951 · doc4.xml · derivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,036,139

Underlying: Class A Common Stock · 196,531 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.

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.

F4 · shares: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

F5 · shares: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2019, subject to continued employment through such dates.

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.

F4 · derivative.exercise_date: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

F5 · derivative.exercise_date: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2019, subject to continued employment through such dates.

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.

SEC source: 0001209191-19-020951 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 839,608

Underlying: Class A Common Stock · 180,115 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.

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.

F3 · shares: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2019, subject to continued employment through such dates, issued pursuant to the Issuer's First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan (as amended and restated as of April 4, 2016), in connection with an annual incentive bonus compensation election made by the reporting person.

F4 · shares: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting date of such LTIP Unit.

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.

F3 · derivative.exercise_date: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2019, subject to continued employment through such dates, issued pursuant to the Issuer's First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan (as amended and restated as of April 4, 2016), in connection with an annual incentive bonus compensation election made by the reporting person.

F4 · derivative.exercise_date: Each of the LTIP Units is subject to a holding period for an additional two years following the applicable vesting 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.

SEC source: 0001209191-19-020951 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 137,683 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.

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.

F2 · kind: These LTIP Units were granted on February 29, 2016 and were scheduled to vest based on the achievement of certain performance criteria relating to the Issuer's total return to the shareholders during a three-year performance period ending December 31, 2018. These units were forfeited due to failure to satisfy such performance criteria as of December 31, 2018.

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.

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.

SEC source: 0001209191-18-022098 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,969

Underlying: Class A Common Stock · 175,969 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.

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.

F3 · shares: These LTIP Units are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's total return to shareholders during a three-year performance period ending December 31, 2020. Any earned LTIP units will vest 50% on January 1, 2021 and 50% on January 1, 2022, subject to continued employment. In accordance with applicable Form 4 reporting requirements, the foregoing excludes 527,908 LTIP Units also granted on March 27, 2018 that are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's relative total return to shareholders measured against two different industry-specific indices.

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.

F3 · derivative.exercise_date: These LTIP Units are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's total return to shareholders during a three-year performance period ending December 31, 2020. Any earned LTIP units will vest 50% on January 1, 2021 and 50% on January 1, 2022, subject to continued employment. In accordance with applicable Form 4 reporting requirements, the foregoing excludes 527,908 LTIP Units also granted on March 27, 2018 that are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's relative total return to shareholders measured against two different industry-specific indices.

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.

SEC source: 0001209191-18-022098 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659,493

Underlying: Class A Common Stock · 164,683 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.

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.

F2 · shares: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2018, subject to continued employment through such dates.

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.

F2 · derivative.exercise_date: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2018, subject to continued employment through such dates.

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.

SEC source: 0000899243-18-005261 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 494,810

Underlying: Class A Common Stock · 128,707 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.

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.

F3 · shares: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2018, subject to continued employment through such dates, issued pursuant to the Issuer's First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan (as amended and restated as of April 4, 2016), in connection with an annual incentive bonus compensation election made by the reporting person.

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.

F3 · derivative.exercise_date: These represent time-based LTIP Units that vest ratably on each of the first three anniversaries of January 1, 2018, subject to continued employment through such dates, issued pursuant to the Issuer's First Amended and Restated Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2013 Equity Incentive Plan (as amended and restated as of April 4, 2016), in connection with an annual incentive bonus compensation election made by the reporting person.

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.

SEC source: 0000899243-18-005261 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,393

Underlying: Class A Common Stock · 34,393 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.

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.

F2 · shares: These LTIP Units were earned on the achievement of certain performance criteria based on the Issuer's total shareholder return measured in both absolute and industry-relative terms during a three-year performance period which ended on December 31, 2017. 50% of such earned LTIP units fully vested as of January 1, 2018, and the remaining 50% of such earned LTIP units will vest on January 1, 2019, subject to continued employment.

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.

F2 · derivative.exercise_date: These LTIP Units were earned on the achievement of certain performance criteria based on the Issuer's total shareholder return measured in both absolute and industry-relative terms during a three-year performance period which ended on December 31, 2017. 50% of such earned LTIP units fully vested as of January 1, 2018, and the remaining 50% of such earned LTIP units will vest on January 1, 2019, subject to continued employment.

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.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 15

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By family trusts or entities controlled by the Reporting Person.

Disclosed balance after: 603,631

Underlying: Class A Common Stock · 9,945 shares

Expires not disclosed

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: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · derivative.exercise_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · derivative.expiration_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F11 · ownership.nature: Includes Class B Common Stock held by (i) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family and (ii) family trusts for the benefit of the Reporting Person's children. The Reporting Person disclaims beneficial ownership of such Class B Common Stock, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 14

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By family trusts or entities controlled by the Reporting Person.

Disclosed balance after: 613,576

Underlying: Class A Common Stock · 79 shares

Expires not disclosed

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: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · derivative.exercise_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F5 · derivative.exercise_date: As previously reported, in connection with the Issuer's acquisition of the ground and operating leases at 112 West 34th St. in 2014, a portion of the consideration payable to the seller by the Issuer, including Operating Partnership Units, was deposited into a liquidating trust as a contingency reserve for the holders of interests in the seller. Payment of interim expenses by the liquidating trust resulted in the involuntary liquidation of Operating Partnership Units owned by such holders, including the Reporting Person and entities for which the Reporting Person serves as sole manager. This resulted in the mandatory conversion of a number of shares of Class B Common Stock to shares of Class A Common Stock, one a one-for-one basis, pursuant to the operating documents of the Issuer.

F4 · derivative.expiration_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F11 · ownership.nature: Includes Class B Common Stock held by (i) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family and (ii) family trusts for the benefit of the Reporting Person's children. The Reporting Person disclaims beneficial ownership of such Class B Common Stock, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 13

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,348

Underlying: Class A Common Stock · 11,790 shares

Expires not disclosed

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: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · derivative.exercise_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F4 · derivative.expiration_date: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 12

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By family trusts or entities controlled by the Reporting Person.

Disclosed balance after: 29,577,930

Underlying: Class A Common Stock · 487,320 shares

Expires not disclosed

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: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · price: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · derivative.exercise_date: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · derivative.expiration_date: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F10 · ownership.nature: Includes Operating Partnership Units held by (i) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family and (ii) family trusts for the benefit of the Reporting Person's children. The Reporting Person disclaims beneficial ownership of such Operating Partnership Units, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 11

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,928,117

Underlying: Class A Common Stock · 577,692 shares

Expires not disclosed

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: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · price: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · derivative.exercise_date: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F3 · derivative.expiration_date: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 10

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,542

Underlying: Class A Common Stock · 36,541 shares

Expires not disclosed

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.

F7 · security: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

F7 · derivative.exercise_price: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates.

F2 · price: A total of 156,416 of vested LTIP Units were converted by the Reporting Person on a one-for-one basis into Operating Partnership Units, which were then redeemed for an equal number of shares of the Issuer's Class A Common Stock. See Note 7 below for a description of the conversion and exchange rights of the LTIP Units and Operating Partnership Units. All capitalized terms used herein are defined in Note 7 below.

F7 · derivative.exercise_date: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

F9 · derivative.exercise_date: These LTIP Units have vested based upon the achievement of certain performance criteria during a three-year performance period ended December 31, 2016.

F7 · derivative.expiration_date: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

SEC source: 0001209191-17-064219 · doc4.xml · derivative · entry 9

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,103

Underlying: Class A Common Stock · 119,875 shares

Expires not disclosed

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.

F7 · security: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

F7 · derivative.exercise_price: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates.

F2 · price: A total of 156,416 of vested LTIP Units were converted by the Reporting Person on a one-for-one basis into Operating Partnership Units, which were then redeemed for an equal number of shares of the Issuer's Class A Common Stock. See Note 7 below for a description of the conversion and exchange rights of the LTIP Units and Operating Partnership Units. All capitalized terms used herein are defined in Note 7 below.

F7 · derivative.exercise_date: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

F8 · derivative.exercise_date: These LTIP Units have vested based upon the passage of time since their issuance on January 1, 2014 or January 1, 2015, as applicable.

F7 · derivative.expiration_date: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership") in which Empire State Realty Trust, Inc. (the "Issuer") is the sole general partner. Conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, vested LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interest ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A common stock, par value $0.01 ("Class A Common Stock") of 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.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 8

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse family trusts and entities controlled by the Reporting Person.

Disclosed balance after: 9,485

F1 · kind: The transactions reported above in this Form 4 are being reported in conjunction with the sale by the Reporting Person, on December 4, 2017, of 1,243,163 shares of Class A Common Stock during an open window period through a secondary market block trade pursuant to Rule 144 under the Securities Act of 1933, as amended. The sale was made for family and tax planning purposes for the family of the Reporting Person (i.e., the Reporting Person, his siblings and entities owned for their benefit) and represents less than 3% of the Malkin family's beneficial ownership of equity in the Issuer on a fully diluted basis.

F6 · ownership.nature: Includes Class A Common Stock held by (i) the Reporting Person's spouse and (ii) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family. The Reporting Person disclaims beneficial ownership of such Class A Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 7

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported above in this Form 4 are being reported in conjunction with the sale by the Reporting Person, on December 4, 2017, of 1,243,163 shares of Class A Common Stock during an open window period through a secondary market block trade pursuant to Rule 144 under the Securities Act of 1933, as amended. The sale was made for family and tax planning purposes for the family of the Reporting Person (i.e., the Reporting Person, his siblings and entities owned for their benefit) and represents less than 3% of the Malkin family's beneficial ownership of equity in the Issuer on a fully diluted basis.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 6

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse and family trusts and entities controlled by the Reporting Person.

Disclosed balance after: 506,750

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 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F6 · ownership.nature: Includes Class A Common Stock held by (i) the Reporting Person's spouse and (ii) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family. The Reporting Person disclaims beneficial ownership of such Class A Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 5

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse and family trusts and entities controlled by the Reporting Person.

Disclosed balance after: 496,805

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 · price: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

F6 · ownership.nature: Includes Class A Common Stock held by (i) the Reporting Person's spouse and (ii) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family. The Reporting Person disclaims beneficial ownership of such Class A Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 4

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse and family trusts and entities controlled by the Reporting Person.

Disclosed balance after: 9,485

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 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

F5 · price: As previously reported, in connection with the Issuer's acquisition of the ground and operating leases at 112 West 34th St. in 2014, a portion of the consideration payable to the seller by the Issuer, including Operating Partnership Units, was deposited into a liquidating trust as a contingency reserve for the holders of interests in the seller. Payment of interim expenses by the liquidating trust resulted in the involuntary liquidation of Operating Partnership Units owned by such holders, including the Reporting Person and entities for which the Reporting Person serves as sole manager. This resulted in the mandatory conversion of a number of shares of Class B Common Stock to shares of Class A Common Stock, one a one-for-one basis, pursuant to the operating documents of the Issuer.

F6 · ownership.nature: Includes Class A Common Stock held by (i) the Reporting Person's spouse and (ii) family trusts and entities for which the Reporting Person has sole voting and investment power as sole manager or sole trustee, as applicable, or the Reporting Person and his spouse have shared voting and investment power as managers or trustees, as applicable, all for the benefit of the Reporting Person, his spouse, and certain other members of their extended family. The Reporting Person disclaims beneficial ownership of such Class A Common Stock except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 3

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 745,898

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 · price: Represents the mandatory conversion of shares of Class B common stock of the Issuer, par value $0.01 ("Class B Common Stock"), upon the transfer of Operating Partnership Units. Under the operating documents of the Issuer, a holder of 49 Operating Partnership Units is entitled to hold one share of Class B Common Stock. The Class B Common Stock is mandatorily convertible into Class A Common Stock, on a one-for-one basis, when the holder of a share of Class B Common Stock no longer holds the requisite number of Operating Partnership Units appurtenant to that share. The conversion right does not expire.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 734,108

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 · price: See note 7 below for a description of the exchange rights of the Operating Partnership Units.

SEC source: 0001209191-17-064219 · doc4.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,416

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 · date: The transactions reported above in this Form 4 are being reported in conjunction with the sale by the Reporting Person, on December 4, 2017, of 1,243,163 shares of Class A Common Stock during an open window period through a secondary market block trade pursuant to Rule 144 under the Securities Act of 1933, as amended. The sale was made for family and tax planning purposes for the family of the Reporting Person (i.e., the Reporting Person, his siblings and entities owned for their benefit) and represents less than 3% of the Malkin family's beneficial ownership of equity in the Issuer on a fully diluted basis.

F2 · price: A total of 156,416 of vested LTIP Units were converted by the Reporting Person on a one-for-one basis into Operating Partnership Units, which were then redeemed for an equal number of shares of the Issuer's Class A Common Stock. See Note 7 below for a description of the conversion and exchange rights of the LTIP Units and Operating Partnership Units. All capitalized terms used herein are defined in Note 7 below.

SEC source: 0001209191-17-049455 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,065,250

Underlying: Class A Common Stock · 186,421 shares

Expires not disclosed

F1 · security: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F1 · derivative.exercise_price: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F2 · shares: Represents the balance of consideration in connection with the Issuer's acquisition, on July 15, 2014, of the ground and operating leases at 112 West 34th St. and the ground lease at 1400 Broadway. LARRYMAE PARTNERS LLC, Peter L. Malkin Family 9 LLC and Peter L. Malkin Family 2000 LLC, entities for which the reporting person serves as sole manager, were investors in the entities that previously owned these leases and delivery of a portion of the consideration payable to such investors by the Issuer at closing was deferred for a three-year period pending resolution of any contingencies. Absent any contingencies, this portion of the consideration has now been released. Shares of the Issuer's common stock and OP Units were issued at $16.65 per share/unit in connection with the closing of the transaction on July 15, 2014.

F2 · price: Represents the balance of consideration in connection with the Issuer's acquisition, on July 15, 2014, of the ground and operating leases at 112 West 34th St. and the ground lease at 1400 Broadway. LARRYMAE PARTNERS LLC, Peter L. Malkin Family 9 LLC and Peter L. Malkin Family 2000 LLC, entities for which the reporting person serves as sole manager, were investors in the entities that previously owned these leases and delivery of a portion of the consideration payable to such investors by the Issuer at closing was deferred for a three-year period pending resolution of any contingencies. Absent any contingencies, this portion of the consideration has now been released. Shares of the Issuer's common stock and OP Units were issued at $16.65 per share/unit in connection with the closing of the transaction on July 15, 2014.

F1 · derivative.exercise_date: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F1 · derivative.expiration_date: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F3 · balance_after: Reflects adjustments in the classification of beneficial ownership of Operating Partnership Units among the Reporting Person and members of his immediate family.

F4 · ownership.nature: Includes OP Units held by (i) family trusts and entities for which Anthony E. Malkin has sole voting and investment power as sole manager or sole trustee, as applicable, or Anthony E. Malkin and his wife have shared voting and investment power as managers or trustees, as applicable, all for the benefit of Anthony E. Malkin, his wife, and other direct descendants of Peter L. Malkin or spouses of such descendants, and (ii) family trusts for the benefit of Anthony E. Malkin's children. Anthony E. Malkin disclaims beneficial ownership of such OP Units, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-049455 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,505,809

Underlying: Class A Common Stock · 11,342 shares

Expires not disclosed

F1 · security: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F1 · derivative.exercise_price: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F2 · shares: Represents the balance of consideration in connection with the Issuer's acquisition, on July 15, 2014, of the ground and operating leases at 112 West 34th St. and the ground lease at 1400 Broadway. LARRYMAE PARTNERS LLC, Peter L. Malkin Family 9 LLC and Peter L. Malkin Family 2000 LLC, entities for which the reporting person serves as sole manager, were investors in the entities that previously owned these leases and delivery of a portion of the consideration payable to such investors by the Issuer at closing was deferred for a three-year period pending resolution of any contingencies. Absent any contingencies, this portion of the consideration has now been released. Shares of the Issuer's common stock and OP Units were issued at $16.65 per share/unit in connection with the closing of the transaction on July 15, 2014.

F2 · price: Represents the balance of consideration in connection with the Issuer's acquisition, on July 15, 2014, of the ground and operating leases at 112 West 34th St. and the ground lease at 1400 Broadway. LARRYMAE PARTNERS LLC, Peter L. Malkin Family 9 LLC and Peter L. Malkin Family 2000 LLC, entities for which the reporting person serves as sole manager, were investors in the entities that previously owned these leases and delivery of a portion of the consideration payable to such investors by the Issuer at closing was deferred for a three-year period pending resolution of any contingencies. Absent any contingencies, this portion of the consideration has now been released. Shares of the Issuer's common stock and OP Units were issued at $16.65 per share/unit in connection with the closing of the transaction on July 15, 2014.

F1 · derivative.exercise_date: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F1 · derivative.expiration_date: Represents OP Units of Empire State Realty OP, L.P., of which the Issuer is the sole general partner. OP Units are redeemable by the holder for shares of Class A Common Stock of the Issuer on a one-for-one basis or the cash value of such shares, at the Issuer's option. The right to redeem OP Units does not have an expiration date.

F3 · balance_after: Reflects adjustments in the classification of beneficial ownership of Operating Partnership Units among the Reporting Person and members of his immediate family.

SEC source: 0001209191-17-022042 · doc4.xml · derivative · entry 2

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,906

Underlying: Class A Common Stock · 87,906 shares

Expires not disclosed

F1 · security: Represents 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.

F1 · derivative.exercise_price: Represents 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.

F3 · shares: These LTIP Units are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's total return to shareholders during a three-year performance period ending December 31, 2019. Any earned LTIP units will vest 50% on January 1, 2020 and 50% on January 1, 2021, subject to continued employment. In accordance with applicable Form 4 reporting requirements, the foregoing excludes 263,719 LTIP Units also granted on March 17, 2017 that are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's relative total return to shareholders measured against two different industry-specific indices.

F1 · derivative.exercise_date: Represents 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.

F3 · derivative.exercise_date: These LTIP Units are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's total return to shareholders during a three-year performance period ending December 31, 2019. Any earned LTIP units will vest 50% on January 1, 2020 and 50% on January 1, 2021, subject to continued employment. In accordance with applicable Form 4 reporting requirements, the foregoing excludes 263,719 LTIP Units also granted on March 17, 2017 that are scheduled to vest conditioned on the achievement of certain performance criteria based on the Issuer's relative total return to shareholders measured against two different industry-specific indices.

F1 · derivative.expiration_date: Represents 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.

SEC source: 0001209191-17-022042 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,978

Underlying: Class A Common Stock · 133,353 shares

Expires not disclosed

F1 · security: Represents 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.

F1 · derivative.exercise_price: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates.

F2 · shares: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2017, subject to continued employment through such dates.

F1 · derivative.exercise_date: Represents long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates.

F2 · derivative.exercise_date: These LTIP Units vest 25% ratably on each of the first four anniversaries of January 1, 2017, subject to continued employment through such dates.

F1 · derivative.expiration_date: Represents 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.

SEC source: 0001209191-17-003941 · doc4.xml · derivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,083

Underlying: Class A Common Stock · 73,083 shares

Expires not disclosed

F1 · security: Represents long term investment plan 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.

F1 · derivative.exercise_price: Represents long term investment plan 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.

F2 · shares: These LTIP Units were earned based on the achievement of certain performance criteria based on the Issuer's total return to shareholders and the Issuer's relative total return to shareholders during a three-year performance period which ended on December 31, 2016. 50% of such earned LTIP units fully vested on January 1, 2017, and the remaining 50% of such earned LTIP units will vest on January 1, 2018, subject to continued employment.

F1 · derivative.exercise_date: Represents long term investment plan 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.

F2 · derivative.exercise_date: These LTIP Units were earned based on the achievement of certain performance criteria based on the Issuer's total return to shareholders and the Issuer's relative total return to shareholders during a three-year performance period which ended on December 31, 2016. 50% of such earned LTIP units fully vested on January 1, 2017, and the remaining 50% of such earned LTIP units will vest on January 1, 2018, subject to continued employment.

F1 · derivative.expiration_date: Represents long term investment plan 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.

SEC source: 0001209191-17-009980 · doc5.xml · nonDerivative · entry 1

MALKIN ANTHONY E · CIK 0001076484 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Year-end gift of shares of Class A common stock to Mr. Malkin and his spouse's non-profit foundation.