ESS Tech, Inc. — Director's Dealing 2023

Aug 31, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ESS Tech, Inc. (GWH)
CIK: 0001819438
Period of Report: 2023-08-28

Reporting Person: Quarls Harry (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-28	Common Stock	A	123456	—	Acquired	123456	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-28	Stock Option (right to buy)	$1.43	A	185184	Acquired	2034-08-27	Common Stock (185184)	Direct

Footnotes

F1: The reported shares are represented by restricted stock units, or RSUs, which vest as to 1/3 of the RSUs on the one year anniversary of the date of grant and 1/3 of the RSUs shall vest annually thereafter, provided that the Reporting Person remains a Service Provider to the issuer on each such vest date.

F2: A portion of these securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3: 1/3 of the shares subject to the option shall vest on the one year anniversary of the date of grant and 1/3 of the shares subject to the option shall vest annually thereafter, provided that the Reporting Person remains as a Service Provider to the issuer as of each vest date.