New insider Goodman Kelly F. claimed ownership of 46,184 shares (SEC Form 3)
$GWH
Industrial Machinery/Components
Miscellaneous
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/13/2025 |
3. Issuer Name and Ticker or Trading Symbol
ESS Tech, Inc. [ GWH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 46,184 | D(1)(2)(3) | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. 1,022 of the reported shares of common stock were acquired by the reporting person under the Company's Employee Stock Purchase Plan. |
| 2. 11,471 of the reported shares of common stock were acquired by the reporting person upon the vesting of restricted stock units, or RSUs, through February 13, 2025. |
| 3. 33,691 of the report shares of common stock are represented by unvested RSUs granted to the reporting person, with 2,760 RSUs granted on April 21, 2022, 11,466 RSUs granted on March 13, 2023, 3,215 RSUs granted on September 5, 2023, and 16,250 RSUs granted on February 15, 2024, and with each respective RSU grant vesting 1/16th on a quarterly basis from the respective grant date. |
| Remarks: |
| Exhibit 24.1 Power of Attorney |
| /s/ Kate Suhadolnik, by power of attorney | 02/14/2025 | |
| ** 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 5 (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. | ||