Robinson James D IV

SEC source: 0001525963-26-000003 · wk-form4_1779221890.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,721

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.

SEC source: 0001525963-26-000003 · wk-form4_1779221890.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,485

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.

SEC source: 0001525963-25-000004 · wk-form4_1747776508.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,629

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.

SEC source: 0001525963-25-000004 · wk-form4_1747776508.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,277

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.

SEC source: 0001525963-24-000002 · wk-form4_1715631812.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,793

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.

SEC source: 0001525963-24-000002 · wk-form4_1715631812.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,933

Underlying: Class A Common Stock · 13,408 shares

Expires not disclosed

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

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

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

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

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

SEC source: 0001541401-23-000018 · wf-form4_168418317706705.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,525

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.

SEC source: 0001541401-23-000018 · wf-form4_168418317706705.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,717

Underlying: Class A Common Stock · 23,232 shares

Expires not disclosed

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

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

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

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

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

SEC source: 0001525963-22-000004 · wf-form4_165282931117190.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,485

Underlying: Class A Common Stock · 12,821 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 are fully vested, and are being issued separately in connection with the Reporting Person's election to receive fully vested 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.

SEC source: 0001525963-22-000004 · wf-form4_165282931117190.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,664

Underlying: Class A Common Stock · 16,156 shares

Expires not disclosed

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

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

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

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

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

SEC source: 0000899243-22-008774 · doc4.xml · nonDerivative · entry 5

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,696

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.27, inclusive.

SEC source: 0000899243-22-008774 · doc4.xml · nonDerivative · entry 4

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,903

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $14.00, inclusive.

SEC source: 0000899243-22-008774 · doc4.xml · derivative · entry 7

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 330,344 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $14.00, inclusive.

F2 · kind: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

F5 · derivative.exercise_date: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.27, inclusive.

F5 · derivative.expiration_date: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.27, inclusive.

F2 · ownership.nature: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

SEC source: 0000899243-22-008774 · doc4.xml · nonDerivative · entry 3

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.92 to $14.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnotes (3), (4) and (5)

F2 · ownership.nature: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

SEC source: 0000899243-22-008774 · doc4.xml · nonDerivative · entry 2

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 330,334

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

F2 · kind: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

F2 · price: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

F2 · ownership.nature: These shares were held by RRE Advisors LLC ("Advisors") and automatically converted from shares of Class B Common Stock to shares of Class A Common Stock on a one-for-one basis upon theirs sale by Advisors. The managers and owners of Advisors are each of James D. Robinson IV, Stuart J. Ellman and William D. Porteous. Each of Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of his pecuniary interest therein, if any.

SEC source: 0000899243-22-008774 · doc4.xml · derivative · entry 6

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,584,141

Underlying: Class A Common Stock · 215,537 shares

Expires not disclosed

F4 · derivative.exercise_price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $14.00, inclusive.

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F6 · price: Ventures IV distributed these shares of Class B Common Stock to its partners on a pro rata basis, for no consideration, which converted to shares of Class A Common Stock upon distribution.

F5 · derivative.exercise_date: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.27, inclusive.

F5 · derivative.expiration_date: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.27, inclusive.

F7 · ownership.nature: Held by Ventures IV. The general partner of Ventures IV is GP IV. The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000899243-22-008774 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 794,569

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

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

SEC source: 0001209191-22-001746 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,032

F1 · shares: These shares are represented by restricted stock units ("RSUs") granted pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents a contingent right to receive one share of the Class A Common Stock of the Issuer. The shares underlying the RSUs vest immediately upon grant.

F2 · price: The RSUs were granted in lieu of the $9,000 quarterly installment of the Reporting Person's annual cash retainer payment and are fully vested. The price reported in Column 4 is the Issuer's closing Class A Common Stock price on January 3,2022 of $21.21.

SEC source: 0000899243-21-047813 · doc4.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,134,141

Underlying: Class A Common Stock · 207,209 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F3 · price: Ventures IV distributed these shares of Class B Common Stock to its partners on a pro rata basis, for no consideration, which converted to shares of Class A Common Stock upon distribution.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · ownership.nature: Held by Ventures IV. The general partner of Ventures IV is GP IV. The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000899243-21-047813 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 578,608

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

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

SEC source: 0000899243-21-040867 · doc4.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,534,141

Underlying: Class A Common Stock · 151,570 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV. The distribution reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plans adopted by Ventures IV and RRE Ventures GP IV, LLC ("GP IV") on September 14, 2021.

F3 · price: Ventures IV distributed these shares of Class B Common Stock to its partners on a pro rata basis, for no consideration, which converted to shares of Class A Common Stock upon distribution. The distribution reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plans adopted by Ventures IV and RRE Ventures GP IV, LLC ("GP IV") on September 14, 2021.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · balance_after: On a Form 4 filed on September 10, 2021, the Reporting Person reported that 13,250,272 shares of Class B Common Stock were held by Ventures IV following the reported transactions. Such number of shares was miscalculated and should have indicated that 13,250,262 shares of Class B Common Stock were owned following the reported transactions.

F5 · ownership.nature: Held by Ventures IV. The general partner of Ventures IV is GP IV. The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000899243-21-040867 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,399

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

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV. The distribution reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plans adopted by Ventures IV and RRE Ventures GP IV, LLC ("GP IV") on September 14, 2021.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP, IV LLC ("GP IV") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV. The distribution reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plans adopted by Ventures IV and RRE Ventures GP IV, LLC ("GP IV") on September 14, 2021.

SEC source: 0001209191-21-059468 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,829

F1 · shares: These shares are represented by restricted stock units ("RSUs") granted pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents a contingent right to receive one share of the Class A Common Stock of the Issuer. The shares underlying the RSUs vest immediately upon grant.

F2 · price: The RSUs were granted in lieu of the $9,000 quarterly installment of the Reporting Person's annual cash retainer payment and are fully vested. The price reported in Column 4 is the Issuer's closing Class A Common Stock price on September 30, 2021 of $30.03.

SEC source: 0000899243-21-036463 · doc4.xml · derivative · entry 3

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 10,149 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · ownership.nature: These shares were held by Leaders II. The managing members and officers of Leaders GP are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of Leaders GP and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of its or his pecuniary interest therein, if any.

SEC source: 0000899243-21-036463 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,530

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

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

SEC source: 0000899243-21-035593 · doc4.xml · derivative · entry 4

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 207,796

Underlying: Class A Common Stock · 24,158 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F2 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F2 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F5 · ownership.nature: These shares are held by RRE Leaders II, L.P. The managing members and officers of Leaders GP are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of Leaders GP and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extents of its or his pecuniary interest therein, if any.

SEC source: 0000899243-21-035593 · doc4.xml · derivative · entry 3

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,250,272

Underlying: Class A Common Stock · 177,249 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP IV, LLC ("GP VI") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP IV, LLC ("GP VI") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into Class A Common Stock and will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · ownership.nature: Held by Ventures IV. The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 4, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0000899243-21-035593 · doc4.xml · nonDerivative · entry 2

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,381

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

F2 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

F2 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Leaders II, L.P. ("Leaders II") and its general partner RRE Leaders GP II, LLC ("Leaders GP") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Leaders II.

SEC source: 0000899243-21-035593 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,223

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

F1 · kind: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP IV, LLC ("GP VI") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

F1 · price: The Reporting Person received shares of Class A Common Stock as the result of a pro rata distribution, for no consideration, by RRE Ventures IV, L.P. ("Ventures IV") and its general partner RRE Ventures GP IV, LLC ("GP VI") of Class B Common Stock which automatically converted to Class A Common Stock on a one-for-one basis upon their transfer by Ventures IV.

SEC source: 0001541401-21-000046 · wf-form4_162275128147156.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,508

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.

SEC source: 0001541401-21-000046 · wf-form4_162275128147156.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,991

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.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 6

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 692,665

Underlying: Class A Common Stock · 383,622 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.exercise_date: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · derivative.expiration_date: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.expiration_date: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F3 · ownership.nature: These shares are held by RRE Leaders II, L.P. ("Leaders II"). The general partner of Leaders II is RRE Leaders GP II, LLC and its managing members and officers are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of Leaders II and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extents of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 5

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,952,749

Underlying: Class A Common Stock · 15,952,749 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.exercise_date: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F4 · derivative.expiration_date: Each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into Class A Common Stock on a 1-for-1 basis and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F5 · derivative.expiration_date: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; and (2) on the final conversion date, defined as the earlier of (a) the trading day immediately following the seventh anniversary of the IPO, (b) the last trading day of the fiscal quarter immediately following the date upon which the then outstanding shares of Class B common stock first represent less than 10% of the aggregate number of the then outstanding shares of Class A common stock and Class B common stock, or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B common stock, voting as a single class.

F2 · ownership.nature: These shares are held by RRE Ventures IV, L.P. ("Ventures IV"). The general partner of Ventures IV is RRE Ventures GP IV, LLC ("GP IV"). The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 4

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 383,622 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F3 · ownership.nature: These shares are held by RRE Leaders II, L.P. ("Leaders II"). The general partner of Leaders II is RRE Leaders GP II, LLC and its managing members and officers are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of Leaders II and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extents of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 3

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,996,276 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F2 · ownership.nature: These shares are held by RRE Ventures IV, L.P. ("Ventures IV"). The general partner of Ventures IV is RRE Ventures GP IV, LLC ("GP IV"). The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 2

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 354,943 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F2 · ownership.nature: These shares are held by RRE Ventures IV, L.P. ("Ventures IV"). The general partner of Ventures IV is RRE Ventures GP IV, LLC ("GP IV"). The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-022610 · doc4.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 13,601,530 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · price: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into Class B Common Stock on a 1-for-10 basis upon the closing of the Issuer's initial public offering (the "IPO") without payment of consideration. The Series B, Series C and Series E Preferred Stock automatically converted into Class B Common Stock on a 1-for-1 basis upon the closing of the IPO without payment of consideration. The Series A-1, Series B, Series C and Series E Preferred Stock had no expiration date.

F2 · ownership.nature: These shares are held by RRE Ventures IV, L.P. ("Ventures IV"). The general partner of Ventures IV is RRE Ventures GP IV, LLC ("GP IV"). The managing members and officers of GP IV are James D. Robinson IV, Stuart J. Ellman, and William D. Porteous. Each of GP IV and Messrs. Robinson IV, Ellman, and Porteous disclaim beneficial ownership of the securities reported on this Form 3, except to the extent of its or his pecuniary interest therein, if any.

SEC source: 0001209191-21-021844 · doc4.xml · nonDerivative · entry 1

Robinson James D IV · CIK 0001525963 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,974

F1 · shares: These shares are represented by restricted stock units (the "RSUs"). Each RSU represents a contingent right to receive one share of the Class A Common Stock of the Issuer. The shares underlying this RSU will vest on the earlier of (a) the day immediately prior to the Issuer's next annual meeting of stockholders and (b) the Assumed First Annual Meeting Date, subject to the Reporting Person's Continuous Service with the Issuer through the vesting date. Capitalized terms used in this footnote shall have the meanings ascribed to them in the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0000899243-20-013441 · doc4.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,475

Underlying: Class A Common Stock · 31,695 shares

Expires not disclosed

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

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

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

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

SEC source: 0000899243-20-005757 · doc4.xml · nonDerivative · entry 1

RRE Ventures GP IV, LLC · CIK 0001569701 · 10% owner

RRE VENTURES IV L P · CIK 0001372748 · 10% owner

Robinson James D IV · CIK 0001525963 · 10% owner

Ellman Stuart J. · CIK 0001628152 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,565,000

F1 · ownership.nature: The reported shares are held of record by RRE Ventures IV, L.P. ("RRE LP"). RRE Ventures GP IV, LLC ("RRE GP"), is the general partner of RRE LP. James D. Robinson IV and Stuart J. Ellman, as the managing members of RRE GP, share voting and dispositive power with respect to the shares held by RRE LP. Messrs. Robinson and Ellman disclaim beneficial ownership of the securities reported herein, except to the extent of his individual pecuniary interest therein.

SEC source: 0000899243-19-014175 · doc4.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,780

Underlying: Class A Common Stock · 13,605 shares

Expires not disclosed

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

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

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

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

SEC source: 0000899243-18-013695 · doc4.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,175

Underlying: Class A Common Stock · 12,500 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are convertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

SEC source: 0001209191-17-032622 · doc4.xml · derivative · entry 1

Robinson James D IV · CIK 0001525963 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,675

Underlying: Class A Common Stock · 5,816 shares

Expires not disclosed

F1 · security: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.exercise_price: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.

F1 · derivative.expiration_date: Represents LTIP Units ("LTIP Units"), a class of units of Empire State Realty OP, L.P. (the "Operating Partnership"). The LTIP Units are covertible by the reporting person, upon vesting, into an equivalent number of units of limited partnership interests ("Operating Partnership Units") of the Operating Partnership, which are redeemable by the holder for shares of Class A Common Stock of Empire State Realty Trust, Inc. (the "Issuer") on a one-for-one basis or the cash value of such shares, at the Issuer's option. The rights to convert LTIP units into Operating Partnership Units and redeem Operating Partnership Units do not have expiration dates. The LTIP Units, which vest ratably on each of the first three anniversaries of the date of grant, were granted under the First Amended and Restated Empire State Realty Trust, Inc. and Empire State Realty OP, L.P. 2013 Equity Incentive Plan.