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person · Reporting owner

GILBERT STEVEN J

Disclosed activity across 5 companies

Tapewire entity
44384
SEC CIK
0001105209

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Brookfield Oaktree Holdings, LLCOAK-PA · Entity 8960DirectorMay 21, 2026May 26, 2026
Empire State Realty Trust, Inc.ESRT · Entity 4759DirectorMay 15, 2026May 19, 2026
MBIA INCMBI · Entity 6171DirectorMay 12, 2026May 13, 2026
SDCL EDGE Acquisition CorpSEDA · Entity 126770DirectorOctober 28, 2021October 28, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Brookfield Oaktree Holdings, LLC

Report date May 21, 2026 · Filed May 26, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A PreferredSEC Table I · non-derivativeDirect20,565 Reported balance After 2026-05-21 transaction · row 1
1 source row

Row 1 · 2026-05-21 · Purchase · Acquired 1,354 · Balance 20,565

F1: This transaction was executed in multiple trades at prices ranging from $20.76 to $20.79. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed in multiple trades at prices ranging from $20.76 to $20.79. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Empire State Realty Trust, Inc.

Report date May 15, 2026 · Filed May 19, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
LTIP UnitsSEC Table II · derivative / convertible securityDirect227,721 Reported balance After 2026-05-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-05-15 · Grant · Acquired 23,856 · Balance 227,721

F1: 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. 2026 Equity Incentive Plan.

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

LTIP UnitsSEC Table II · derivative / convertible securityDirect246,957 Reported balance After 2026-05-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-05-15 · Grant · Acquired 19,236 · Balance 246,957

F1: 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. 2026 Equity Incentive Plan.

F3: These LTIP Units vest ratably on each of the first three anniversaries of the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

Filing footnotes · ownership attribution and instrument terms

F1: 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. 2026 Equity Incentive Plan.

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

F3: These LTIP Units vest ratably on each of the first three anniversaries of the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

MBIA INC

Report date May 12, 2026 · Filed May 13, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect125,423 Reported balance After 2026-05-12 transaction · row 1
1 source row

Row 1 · 2026-05-12 · Grant · Acquired 16,181 · Balance 125,423

F1: Restricted Stock granted on May 12, 2026 at a price of $6.18 per share with 1 year cliff vesting on May 12, 2027.

Filing footnotes · ownership attribution and instrument terms

F1: Restricted Stock granted on May 12, 2026 at a price of $6.18 per share with 1 year cliff vesting on May 12, 2027.

SDCL EDGE Acquisition Corp

Report date October 28, 2021 · Filed October 28, 2021

This filing explicitly reported no securities owned.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Tri Pointe Homes, Inc.

Report date May 14, 2026 · Filed May 14, 2026

Section 16 reporting ended · disclosed 2026-05-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2026-05-14 transaction · row 1
1 source row

Row 1 · 2026-05-14 · Disposition to issuer · Disposed 30,330 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger, dated as of February 13, 2026 (the "Merger Agreement"), by and among Tri Pointe Homes, Inc. (the "Company"), Sumitomo Forestry Co., Ltd. ("Parent"), and Teton NewCo, Inc. ("Merger Sub"), an indirect wholly owned subsidiary of Parent, on May 14, 2026, Merger Sub merged with and into the Company (the "Merger"), and each share (each, a "Share") of Company common stock (other than certain excluded Shares) issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") was automatically canceled and converted into the right to receive $47.00 in cash, without interest (the "Merger Consideration").

Common Stock (Restricted Stock Unit)SEC Table I · non-derivativeDirect0 Reported balance After 2026-05-14 transaction · row 2
1 source row

Row 2 · 2026-05-14 · Disposition to issuer · Disposed 3,734 · Balance 0

F2: At the Effective Time, each outstanding restricted stock unit award (each, a "Company RSU") granted prior to February 2026 or held by a non-employee director was fully vested, canceled and converted, in accordance with the terms of the Merger Agreement, into the right to receive, in respect of each Share subject to such Company RSU, the Merger Consideration in cash, without interest.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of February 13, 2026 (the "Merger Agreement"), by and among Tri Pointe Homes, Inc. (the "Company"), Sumitomo Forestry Co., Ltd. ("Parent"), and Teton NewCo, Inc. ("Merger Sub"), an indirect wholly owned subsidiary of Parent, on May 14, 2026, Merger Sub merged with and into the Company (the "Merger"), and each share (each, a "Share") of Company common stock (other than certain excluded Shares) issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") was automatically canceled and converted into the right to receive $47.00 in cash, without interest (the "Merger Consideration").

F2: At the Effective Time, each outstanding restricted stock unit award (each, a "Company RSU") granted prior to February 2026 or held by a non-employee director was fully vested, canceled and converted, in accordance with the terms of the Merger Agreement, into the right to receive, in respect of each Share subject to such Company RSU, the Merger Consideration in cash, without interest.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 21, 2026 Filed May 26, 2026 20:52 UTC Brookfield Oaktree Holdings, LLC OAK-PA · Entity 8960 PurchaseSeries A Preferred 1,354 $20.77 $28,122.58
Disclosure

SEC source: 0001403528-26-000031 · wk-form4_1779828724.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,565

F1 · price: This transaction was executed in multiple trades at prices ranging from $20.76 to $20.79. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Read SEC document
May 15, 2026 Filed May 19, 2026 20:05 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 19,236 $0.00 $0.00
Disclosure

SEC source: 0001105209-26-000009 · wk-form4_1779221144.xml · derivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,957

Underlying: Class A Common Stock · 19,236 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. 2026 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. 2026 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. 2026 Equity Incentive Plan.

F3 · derivative.exercise_date: These LTIP Units vest ratably on each of the first three anniversaries of the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2026 Equity Incentive Plan.

Read SEC document
May 15, 2026 Filed May 19, 2026 20:05 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 23,856 $0.00 $0.00
Disclosure

SEC source: 0001105209-26-000009 · wk-form4_1779221144.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,721

Underlying: Class A Common Stock · 23,856 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. 2026 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. 2026 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. 2026 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2026 Equity Incentive Plan.

Read SEC document
May 14, 2026 Filed May 14, 2026 20:01 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 Disposition to issuerCommon Stock (Restricted Stock Unit) 3,734 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-26-223940 · ownership.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · shares: At the Effective Time, each outstanding restricted stock unit award (each, a "Company RSU") granted prior to February 2026 or held by a non-employee director was fully vested, canceled and converted, in accordance with the terms of the Merger Agreement, into the right to receive, in respect of each Share subject to such Company RSU, the Merger Consideration in cash, without interest.

F2 · price: At the Effective Time, each outstanding restricted stock unit award (each, a "Company RSU") granted prior to February 2026 or held by a non-employee director was fully vested, canceled and converted, in accordance with the terms of the Merger Agreement, into the right to receive, in respect of each Share subject to such Company RSU, the Merger Consideration in cash, without interest.

Read SEC document
May 14, 2026 Filed May 14, 2026 20:01 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 Disposition to issuerCommon Stock 30,330 $47.00 $1,425,510.00
Disclosure

SEC source: 0001193125-26-223940 · ownership.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of February 13, 2026 (the "Merger Agreement"), by and among Tri Pointe Homes, Inc. (the "Company"), Sumitomo Forestry Co., Ltd. ("Parent"), and Teton NewCo, Inc. ("Merger Sub"), an indirect wholly owned subsidiary of Parent, on May 14, 2026, Merger Sub merged with and into the Company (the "Merger"), and each share (each, a "Share") of Company common stock (other than certain excluded Shares) issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") was automatically canceled and converted into the right to receive $47.00 in cash, without interest (the "Merger Consideration").

Read SEC document
May 12, 2026 Filed May 13, 2026 20:19 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 16,181 $6.18 $99,998.58
Disclosure

SEC source: 0000814585-26-000050 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,423

F1 · shares: Restricted Stock granted on May 12, 2026 at a price of $6.18 per share with 1 year cliff vesting on May 12, 2027.

Read SEC document
April 17, 2026 Filed Apr 20, 2026 20:07 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 3,734 $46.86 $174,975.24
Disclosure

SEC source: 0001105209-26-000005 · wk-form4_1776715623.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,064

F1 · kind: Represents a grant of 3,734 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2027 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

Read SEC document
February 19, 2026 Filed Feb 19, 2026 22:57 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 SaleCommon Stock 50,000 $46.33 $2,316,500.00
Disclosure

SEC source: 0001105209-26-000002 · wk-form4_1771541827.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,330

F1 · price: The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $46.31 to $46.34, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
May 16, 2025 Filed May 20, 2025 21:05 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 13,352 $0.00 $0.00
Disclosure

SEC source: 0001105209-25-000004 · wk-form4_1747775103.xml · derivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,865

Underlying: Class A Common Stock · 13,352 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F3 · derivative.exercise_date: These LTIP Units vest ratably on each of the first three anniversaries of the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

Read SEC document
May 16, 2025 Filed May 20, 2025 21:05 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 16,484 $0.00 $0.00
Disclosure

SEC source: 0001105209-25-000004 · wk-form4_1747775103.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 190,513

Underlying: Class A Common Stock · 16,484 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

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May 13, 2025 Filed May 14, 2025 20:22 UTC MBIA INC MBI · Entity 6171 GrantCOMMON STOCK 23,095 $4.33 $100,001.35
Disclosure

SEC source: 0000814585-25-000023 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,242

F1 · shares: Restricted stock granted on May 13, 2025 at a price of $4.33 per share with 1 year vesting on May 13, 2026.

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May 05, 2025 Filed May 6, 2025 21:21 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 5,564 $31.45 $174,987.80
Disclosure

SEC source: 0001561680-25-000072 · wk-form4_1746566507.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,330

F1 · kind: Represents a grant of 5,564 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2026 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

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May 14, 2024 Filed May 16, 2024 20:23 UTC MBIA INC MBI · Entity 6171 GrantMBIA Common Stock 16,502 $6.06 $100,002.12
Disclosure

SEC source: 0000814585-24-000032 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,147

F1 · shares: Restricted stock granted on May 14, 2024 at a price of $6.06 per share with 1 year vesting on May 14, 2025.

Read SEC document
May 10, 2024 Filed May 13, 2024 20:10 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 10,860 $0.00 $0.00
Disclosure

SEC source: 0001541401-24-000012 · wk-form4_1715631000.xml · derivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,029

Underlying: Class A Common Stock · 10,860 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F3 · derivative.exercise_date: These LTIP Units vest ratably on each of the first three anniversaries of the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

Read SEC document
May 10, 2024 Filed May 13, 2024 20:10 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 13,408 $0.00 $0.00
Disclosure

SEC source: 0001541401-24-000012 · wk-form4_1715631000.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,169

Underlying: Class A Common Stock · 13,408 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2024 Equity Incentive Plan.

Read SEC document
April 29, 2024 Filed May 1, 2024 20:47 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 4,367 $37.78 $164,985.26
Disclosure

SEC source: 0001561680-24-000061 · wk-form4_1714596422.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,766

F1 · kind: Represents a grant of 4,367 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2025 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

Read SEC document
May 12, 2023 Filed May 15, 2023 20:27 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 18,808 $0.00 $0.00
Disclosure

SEC source: 0001541401-23-000008 · wf-form4_168418244796731.xml · derivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,761

Underlying: Class A Common Stock · 18,808 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 the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 12, 2023 Filed May 15, 2023 20:27 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 23,232 $0.00 $0.00
Disclosure

SEC source: 0001541401-23-000008 · wf-form4_168418244796731.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,953

Underlying: Class A Common Stock · 23,232 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 12, 2023 Filed May 16, 2023 20:32 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 12,821 $7.80 $100,003.80
Disclosure

SEC source: 0000814585-23-000026 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,645

F1 · shares: Restricted Stock granted on May 12, 2023 at a price of $7.80 per share with 1 year vesting on May 12, 2024.

Read SEC document
May 01, 2023 Filed May 2, 2023 20:40 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 5,830 $28.30 $164,989.00
Disclosure

SEC source: 0001561680-23-000068 · wf-form4_168306003836238.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,399

F1 · kind: Represents a grant of 5,830 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2024 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

Read SEC document
March 03, 2023 Filed Mar 6, 2023 22:10 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 Exercise / conversionStock Option (Right to Buy) · Derivative 3,699 $0.00 Strike: $19.95 $0.00
Disclosure

SEC source: 0001561680-23-000034 · wf-form4_167814063200680.xml · derivative · entry 3

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,699 shares

Expires 2023-03-21

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.

Read SEC document
March 03, 2023 Filed Mar 6, 2023 22:10 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 SaleCommon Stock 3,699 $24.07 $89,034.93
Disclosure

SEC source: 0001561680-23-000034 · wf-form4_167814063200680.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,569

F1 · price: The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $23.98 to $24.13, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

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March 03, 2023 Filed Mar 6, 2023 22:10 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 Exercise / conversionCommon Stock 3,699 $19.95 $73,795.05
Disclosure

SEC source: 0001561680-23-000034 · wf-form4_167814063200680.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,268

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.

Read SEC document
June 14, 2022 Filed Jun 16, 2022 20:57 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 PurchaseSeries B Preferred 5,000 $23.55 $117,747.00
Disclosure

SEC source: 0000899243-22-022853 · doc4.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $23.47 to $23.55. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

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June 14, 2022 Filed Jun 16, 2022 20:57 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 PurchaseSeries A Preferred 15,000 $23.74 $356,070.00
Disclosure

SEC source: 0000899243-22-022853 · doc4.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,211

F1 · price: This transaction was executed in multiple trades at prices ranging from $23.58 to $23.75. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Read SEC document
May 13, 2022 Filed May 17, 2022 23:25 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 16,156 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-014681 · wf-form4_165282993138959.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,721

Underlying: Class A Common Stock · 16,156 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 12, 2022 Filed May 13, 2022 21:54 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 8,361 $11.96 $99,997.56
Disclosure

SEC source: 0000814585-22-000029 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,824

F1 · shares: Restricted Stock granted on May 12, 2022 at a price of $11.96 per share with 1 year vesting on May 12, 2023.

Read SEC document
April 25, 2022 Filed Apr 27, 2022 20:35 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 7,677 $20.19 $154,998.63
Disclosure

SEC source: 0001561680-22-000069 · wf-form4_165109170314691.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,569

F1 · kind: Represents a grant of 7,677 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2023 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

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April 04, 2022 Filed Apr 6, 2022 21:05 UTC MBIA INC MBI · Entity 6171 SaleCommon Stock 85,141 $15.58 $1,326,496.78
Disclosure

SEC source: 0000814585-22-000023 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,463

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.49 to $15.85, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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August 12, 2021 Filed Aug 16, 2021 21:46 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 SaleCommon Stock 6,592 $24.50 $161,504.00
Disclosure

SEC source: 0001561680-21-000097 · wf-form4_162915033845384.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,892

Read SEC document
June 02, 2021 Filed Jun 3, 2021 20:18 UTC MBIA INC MBI · Entity 6171 SaleCommon Stock 20,500 $10.23 $209,715.00
Disclosure

SEC source: 0000814585-21-000036 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,604

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:16 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 8,517 $0.00 $0.00
Disclosure

SEC source: 0001541401-21-000048 · wf-form4_162275137165386.xml · derivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,565

Underlying: Class A Common Stock · 8,517 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 the date of grant, and are being issued separately in connection with the Reporting Person's election to receive LTIP Units in lieu of receiving any portion of the Reporting Person's annual base retainer in cash. Each of the LTIP Units is subject to a holding period for an additional two years following the applicable grant date of such LTIP Unit.

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:16 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 10,516 $0.00 $0.00
Disclosure

SEC source: 0001541401-21-000048 · wf-form4_162275137165386.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,048

Underlying: Class A Common Stock · 10,516 shares

Expires not disclosed

F1 · security: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

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

F1 · derivative.expiration_date: These represent long term incentive plan units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). Conditioned upon sufficient allocations to the capital accounts of the LTIP Units for federal income tax purposes, LTIP Units are convertible by the Reporting Person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP Units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. These LTIP Units were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:27 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 11,261 $8.88 $99,997.68
Disclosure

SEC source: 0000814585-21-000030 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,104

F1 · shares: Restricted Stock granted on May 13, 2021 at a price of $8.88 per share with 1 year vesting on May 13, 2022.

Read SEC document
April 26, 2021 Filed Apr 27, 2021 23:11 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 6,592 $23.51 $154,977.92
Disclosure

SEC source: 0001561680-21-000081 · wf-form4_161956503842170.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,484

F1 · kind: Represents a grant of 6,592 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to Tri Pointe Homes, Inc.'s 2022 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

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March 10, 2021 Filed Mar 11, 2021 01:20 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 SaleCommon Stock 6,972 $20.43 $142,437.96
Disclosure

SEC source: 0001561680-21-000055 · wf-form4_161542562762792.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,892

F1 · price: The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $20.31 to $20.52, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
August 18, 2020 Filed Sep 3, 2020 20:26 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GiftCommon Stock 7,581 $0.00 $0.00
Disclosure

SEC source: 0001561680-20-000099 · wf-form4_159916476678497.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,864

Read SEC document
August 17, 2020 Filed Sep 3, 2020 20:26 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GiftCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001561680-20-000099 · wf-form4_159916476678497.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,445

Read SEC document
May 15, 2020 Filed May 18, 2020 22:45 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 19,017 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-013452 · doc4.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,532

Underlying: Class A Common Stock · 19,017 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 15, 2020 Filed May 20, 2020 22:33 UTC MBIA INC MBI · Entity 6171 GiftCommon Stock 64,416 $0.00 $0.00
Disclosure

SEC source: 0000814585-20-000041 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,843

Read SEC document
May 14, 2020 Filed May 16, 2020 00:31 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 15,949 $6.27 $100,000.23
Disclosure

SEC source: 0000814585-20-000039 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,259

F1 · shares: Restricted stock granted on May 14, 2020 at a price of $6.27 per share with 1 year vesting on May 14, 2021.

Read SEC document
April 27, 2020 Filed Apr 29, 2020 16:37 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 9,416 $10.62 $99,997.92
Disclosure

SEC source: 0001561680-20-000076 · wf-form4_158817825503893.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,445

F1 · kind: Represents a grant of 9,416 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to TRI Pointe Group, Inc.'s 2021 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 19:20 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 PurchaseSeries A Preferred 4,211 $27.21 $114,581.31
Disclosure

SEC source: 0000899243-19-027257 · doc4.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,211

F1 · price: This transaction was executed in multiple trades at prices ranging from $27.20 to $27.22. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 20:52 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 Disposition to issuerClass A Units 5,347 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-024720 · doc4.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Pursuant to the Merger Agreement, each unvested Class A Unit of Oaktree was converted into one unvested limited partnership unit of Oaktree Capital Group Holdings, L.P., subject to the same terms and conditions (including vesting) applicable to the unvested Class A Unit of Oaktree prior to the Merger.

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September 30, 2019 Filed Oct 2, 2019 20:52 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 Disposition to issuerClass A Units 2,010 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-024720 · doc4.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,347

F1 · price: On September 30, 2019, Brookfield Asset Management Inc. ("Brookfield") and Oaktree Capital Group, LLC ("Oaktree") completed the transactions contemplated by the Agreement and Plan of Merger, dated as of March 13, 2019, among Oaktree, Brookfield, Berlin Merger Sub, LLC, Oslo Holdings LLC and Oslo Holdings Merger Sub LLC (the "Merger Agreement"), pursuant to which Brookfield acquired approximately 61.2% of the Oaktree business (the "Merger"). Pursuant to the Merger Agreement, each vested Class A Unit of Oaktree was disposed of in exchange for either (A) $49.00 in cash or (B) 1.0770 Class A Limited Voting Shares of Brookfield, in each case, subject to the merger consideration election made by the reporting person and the proration adjustment set forth in the Merger Agreement.

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August 07, 2019 Filed Aug 7, 2019 22:02 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 PurchaseSeries B Preferred 15,000 $26.60 $399,019.50
Disclosure

SEC source: 0000899243-19-021277 · doc4.xml · nonDerivative · entry 2

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $26.56 to $26.63. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Read SEC document
August 05, 2019 Filed Aug 7, 2019 22:02 UTC Brookfield Oaktree Holdings, LLC OAK · Entity 8960 PurchaseSeries B Preferred 10,000 $26.66 $266,582.00
Disclosure

SEC source: 0000899243-19-021277 · doc4.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $26.6312 to $26.67. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of units and prices at which the transaction was effected.

Read SEC document
May 17, 2019 Filed May 20, 2019 20:39 UTC Empire State Realty Trust, Inc. ESRT · Entity 4759 GrantLTIP Units · Derivative 8,163 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-014181 · doc4.xml · derivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,515

Underlying: Class A Common Stock · 8,163 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the Empire State Realty Trust, Inc. Empire State Realty OP, L.P. 2019 Equity Incentive Plan.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:08 UTC MBIA INC MBI · Entity 6171 GrantCommon Stock 10,917 $9.16 $99,999.72
Disclosure

SEC source: 0000814585-19-000020 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,310

F1 · shares: Restricted stock granted on May 13, 2019 at a price of $9.16 per share with 1 year vesting on May 13, 2020.

Read SEC document
May 06, 2019 Filed May 9, 2019 20:56 UTC Tri Pointe Homes, Inc. TPH · Entity 47254 GrantCommon Stock 10,248 $13.66 $139,987.68
Disclosure

SEC source: 0001561680-19-000065 · wf-form4_155743536622300.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,029

F1 · kind: Represents a grant of 10,248 restricted stock units. The restricted stock units, which shall vest on the day immediately prior to TRI Pointe Group, Inc.'s 2020 Annual Meeting of Stockholders, are to be settled for an equal number of shares of common stock upon vesting.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.