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January 30, 2016: Malkin Holdings, Peter Malkin and Tony Malkin lose Empire State Building Arbitration Case Ruling

Key Documents

Lazard Report Private Sale vs. REIT page 15 Benefits
SEC-Malkin Letters: "... could not successfully deny that you had a fiduciary duty to the Participants"
Empire State Building Discounted Cash Flow Exhibit 99.49: NOI $160 Million in 2015
Revised Empire State Building Discounted Cash Flow Exhibit 99.59: NOI $136 Million in 2015
AGREEMENT OF EMPIRE STATE BUILDING ASSOCIATES L.L.C:   Owner of Empire State Building Fee Title
Empire State Building Master Lease Owned by Empire State Building Associates L.L.C.
FIRST MODIFICATION OF MASTER LEASE
SECOND MODIFICATION OF MASTER LEASE
Sublease Empire State Building Contract to Manage Building (Helmsley Trust ownership 63.75%)
Sublease Participating Agreement
Sublease Operating Agreement
Discounted Cash Flow for Empire State Building (page 12)
Ex-Wien Partner: Vote No to REIT.   Click here: for letter to ESBA Investors and SEC
Empire State Building Associates partnership agreement
Stipulation of Settlement ESRT Class Action Lawsuit September 2012
Peter Malkin INDEMNIFICATION AGREEMENT
Anthony Malkin INDEMNIFICATION AGREEMENT
Thomas Keltner INDEMNIFICATION AGREEMENT

SEC comment letters to Malkin Holdings concerning ESRT & Malkin Holdings answers

SEC Freedom of Information (FOIA) Document Requests

11/24/14: June 6. 2014 FOIA records request ready for review.
    Emails between the SEC and Empire State Building Associates LLC and their representatives. Emails between SEC employees that discuss phone conversations with Empire State Building Associates LLC representatives.

11/11/14:   SEC Division of Enforcement Case Opening Report and Case Closing
Recommendation in the matter of Empire State Realty Trust

11/12/14: In the matter of Empire State Realty Trust, all instructions from Division of Corporate Finance Office Enforcement Liaison (OEL) to review team concerning tips and consumer complaints

11/13/14: DOC_DATE: 11/1/13-3/1/14
TYPE: Consumer complaints
COMMENTS: Communications of any nature to/from Division of Corporate Finance Office Enforcement Liaison (OEL) in the matter of Empire State Realty Trust, Inc.

10/20/14: Washington D.C. Federal Judge orders SEC to provide withheld ESRT/ESBA document list for court review prior to release. click here

9/30/14: SEC releases 2,034 pages of ESRT/ESBA records sought in FOIA Federal Lawsuit

SEC internal Memo: "Throughout the course of our nearly two-year review of these transactions, we received hundreds of complaints and phone calls from many investors."


July 3, 2014: SEC FOIA lawsuit filed in Federal District Court. click here

1. Redacted investor complaints and interviews during SEC review process for ESRT.
4/30/14: SEC Glomar response to above Freedom of Information request.  Click here
What is a Glomar response? click here
This is first Glomar letter issued by SEC in four years. click here
6/18/14: Under FOIA law, jurisdiction shifts from SEC General Council to Federal District Court.

2. SEC communications with Malkin Holdings concerning Proxy Solicitation with material false information.
4/30/14: SEC General Council Office issues Remand order to SEC FOIA Office.
5/30/14: SEC FOIA Office deadline to cure default under Remand order passes with no action.

3. SEC Enforcement Liaison communications about missing or never filed Sublease for Empire State Building.
4/30/14:   SEC General Council Office issues Remand order to SEC FOIA Office.
5/30/14:  SEC FOIA Office deadline to cure default under Remand order passes with no action.

4. List of all documents submitted by Malkin Holdings under SEC confidentiality provisions.
4/30/14:   SEC General Council Office issues Remand order to SEC FOIA Office.
5/30/14:  SEC FOIA Office deadline to cure default under Remand order passes with no action.

5. All communications to SEC concerning ESRT from Governmental officials other than SEC employees .
5/9/14: Appeal to SEC General Council Office for SEC FOIA Office failure to respond.

All 2013-14 ESBA $600 Million Class Action Lawsuit Court Filings click here

3/14/14: Appeal of Original 2012 ESRT/ESBA Class Action Lawsuit
4/6/14: Malkin Holdings/Helmsley Trust Brief
Original Class Action Lawyers Brief in Opposition to Appeal
4/25/14: Reply Brief

Contact
Empire State Building Ownership
Questions about sales process and 50% split with sublessee.
Empire State Building and Sublessee 1961-2012: Changing views
$2.5 Billion Empire State Building Appraisal
Who owns Sublessee
Is the Sublessee a Lessee?
Is Sublessee in a joint venture with Empire State Building?
Sublessee declines opportunity to become co-owner
There is one owner of Empire State Building.
Owner's relationship with sublessee is contractual
Title to all of the improvements shall be in the Lessor
S-4 Empire State Realty Trust February 13, 2012, page 154
Continued from Home page
"No independent representative was retained to negotiate on behalf of the participants."
How much is your ownership in the Empire State Building worth?
"The supervisor has represented that historically, agreements have been entered into to share capital expenditure and financing costs"
Anthony Malkin ESRT CEO only TV interview during REIT Vote. click here

News Stories

Security Exchange Commission (SEC), Washington D.C. Documents:

February 2, 2012 :Sublease contract missing or never filed by Empire State Building Associates L.L.C. SEC Freedom of Information Act finding.
February 13, 2012: SEC S-4 Empire State Equity Trust, Inc.
SEC 3/16/12: "You may be contacted before the voting process begins by dissident investors. They are free to do this at any point."
SEC 4/4/12: "Under the consents we have received to date, we must close the consolidation and conclude the initial public offering and listing of the Class A common stock on the New York Stock Exchange (or another national securities exchange) no later than December 31, 2014."

5. SEC 5/11/2012:  "There are material risks and conflicts of interest associated with the
consolidation. You should carefully review the sections entitled “Risk Factors” and
“Conflicts of Interest” in the preliminary filing of the Form S-4 which has been filed
with the SEC."
6. SEC 5/31/2012: "The status quo will not continue. Unavoidable, material change is coming,
driven by the requirement for the executors under Leona Helmsley’s will to sell her estate’s
ownership interests in properties supervised by Malkin" Holdings."
7. SEC 7/2/2012: We are pleased inform you that we have developed a new structure that
would give you the option to defer any tax that could be triggered by the proposed
consolidation.  The new structure is unique, never used before.....
8. SEC 8/6/2012: On August 6, 2012, Malkin Holdings L.L.C., the supervisor of Empire State Building
Associates L.L.C. (the “Registrant”), provided the following to persons calling participants in the
  Registrant, to be used as a script for such calls:
9. SEC 8/7/2012: We believe certain individuals are creating an environment of confusion through
incorrect statements about ESBA and our proposed consolidation of properties and initial public
offering (“IPO”). We thought it would be useful to present here in brief Q&A format important
  matters which are necessary to understand our proposal and are in the Form S-4 currently in review
    with the SEC.
10. SEC 8/9/2012 There is a risk that other third parties will assert claims against the Defendants,
including, without  limitation, that the Defendants breached their fiduciary duties to participants or that
  the consolidation violates the relevant operating agreements, and third parties may commence
litigation against the Defendants.
11. SEC 8/13/2012 Empire State Building Master Lease
12. SEC 8/13/2012 Long term Discounted Cash Flow for Empire State Building, page 12
13. SEC 8/24/2012 "While legally distinct from a joint venture, the structure has the economic
attributes of a 50/50 joint venture (“JV”). The entities always functioned economically like a 50/50
JV, as described in Exhibit A".
14. SEC 11/2/12 AMENDMENT NO. 4 TO FORM S-4
15. SEC 11/9/12 "Two individuals, Richard Edelman and Steven Edelman, each a beneficiary of a trust established by his family that holds interests in ESBA, and others with whom they have been working, have created what we believe to be an environment of confusion through incorrect and misleading statements about our proposed consolidation and initial public offering (“IPO”). This letter is to assist in correcting such statements."
16. SEC 12/17/12 AMENDMENT NO. 5 to FORM S-4
17. SEC 12/17/12 EMPIRE STATE REALTY TRUST, INC FULL FILING
18. SEC 12/21/12 AMENDMENT NO. 6 to FORM S-4
19. SEC 12/21/12 EMPIRE STATE REALTY TRUST, INC FULL FILING
20. SEC 12/24/12 NOTICE OF EFFECTIVENESS
21. SEC 2/5/13 1971 Sublessee Empire State Building Company Operating Agreement with Amendments
22. SEC 2/5/13 1971 Sublessee Empire State Building Company Participation Agreement

Lawsuits
January 28/29th 2013: $800 Million ESBA Class Action Suit Filed against Malkin Holdings
November 2, 2012 News Article and Settlement proposal Empire State Realty Trust
June 26, 2012: Class Action Motion to Consolidate and Appoint Lead Counsel

1. March 1, 2012 First Class Action Suit
2. March 7, 2012 Second Class Action Suit
3. March 12, 2012 Third Class Action Suit
4. March 14, 2012 Fourth Class Action Suit
5. March 19 2012 Fifth Class Action Suit
6. January 28/29 2013 Sixth/Seventh Class Action Suit

This website is not affiliated with Malkin Holdings LLC , Empire State Building Associates LLC or Empirestaterealtytrust.com