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    Chief Financial Officer Rabb Anthony covered exercise/tax liability with 13,196 shares and was granted 42,500 shares, increasing direct ownership by 35% to 112,133 units (SEC Form 4)

    4/15/25 4:19:08 PM ET
    $GWH
    Industrial Machinery/Components
    Miscellaneous
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    SEC FORM 4 SEC Form 4
    FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549

    STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

    Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
    or Section 30(h) of the Investment Company Act of 1940
    OMB APPROVAL
    OMB Number: 3235-0287
    Estimated average burden
    hours per response: 0.5
      
    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
      
    Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
    1. Name and Address of Reporting Person*
    Rabb Anthony

    (Last) (First) (Middle)
    C/O ESS TECH, INC.
    26440 SW PARKWAY AVE., BLDG. 83

    (Street)
    WILSONVILLE OR 97070

    (City) (State) (Zip)
    2. Issuer Name and Ticker or Trading Symbol
    ESS Tech, Inc. [ GWH ]
    5. Relationship of Reporting Person(s) to Issuer
    (Check all applicable)
    Director 10% Owner
    X Officer (give title below) Other (specify below)
    Chief Financial Officer
    3. Date of Earliest Transaction (Month/Day/Year)
    05/20/2023
    4. If Amendment, Date of Original Filed (Month/Day/Year)
    6. Individual or Joint/Group Filing (Check Applicable Line)
    X Form filed by One Reporting Person
    Form filed by More than One Reporting Person
    Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
    1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
    Code V Amount (A) or (D) Price
    Common Stock 05/20/2023 F 100(1) D $18 82,729(2) D
    Common Stock 08/20/2023 F 106(1) D $18.15 82,623(2) D
    Common Stock 11/20/2023 F 4,298(1) D $17.55 78,325(2) D
    Common Stock 02/20/2024 F 1,044(1) D $13.6665 77,281(2) D
    Common Stock 05/20/2024 F 1,886(1) D $12.15 75,395(2) D
    Common Stock 08/20/2024 F 1,886(1) D $8.1945 73,509(2) D
    Common Stock 11/20/2024 F 1,889(1) D $5.21 71,620(2) D
    Common Stock 02/20/2025 F 1,987(1) D $4.81 69,633(2) D
    Common Stock 04/13/2025 A 42,500(3) A $0 112,133(2) D
    Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
    (e.g., puts, calls, warrants, options, convertible securities)
    1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
    Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
    Explanation of Responses:
    1. The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.
    2. A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
    3. The reported shares are represented by RSUs, which vest as to 1/16th of the RSUs on May 20, 2025 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the Issuer through each such vest date.
    Remarks:
    /s/ Kate Suhadolnik, by power of attorney 04/15/2025
    ** Signature of Reporting Person Date
    Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
    * If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
    ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
    Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
    Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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