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ESS Tech, Inc. — Director's Dealing 2022
Mar 4, 2022
34863_dirs_2022-03-03_268b1684-961d-480c-b07a-c3c1ca75a4cf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ESS Tech, Inc. (GWH)
CIK: 0001819438
Period of Report: 2022-03-01
Reporting Person: NIGGLI MICHAEL R (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-03-01 | Common Stock | P | 20000 | $5.0084 | Acquired | 530235 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 568312 | Indirect |
| Common Stock | 227407 | Indirect |
| Common Stock | 85228 | Indirect |
| Common Stock | 85228 | Indirect |
| Common Stock | 85228 | Indirect |
| Common Stock | 85228 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.93 to $5.07, 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 purchased at each separate price.
F2: Reflects an increase of 16 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
F3: Reflects an increase of 10 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
F4: The shares are held of record by the Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee.
F5: Reflects an increase of seven shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
F6: The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee.
F7: Reflects an increase of three shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021
F8: The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee.
F9: The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
F10: The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
F11: The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee.