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ESS Tech, Inc. — Director's Dealing 2024
Sep 3, 2024
34863_dirs_2024-09-03_b60838a1-489e-4bb2-8825-21f2277f91b9.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: 2024-08-29
Reporting Person: NIGGLI MICHAEL R (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-08-29 | Common Stock | M | 11852 | $6.88 | Acquired | 77312 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-08-29 | Stock Option (right to buy) | $6.88 | M | 11852 | Disposed | 2028-10-18 | Common Stock (11852) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5681 | Indirect |
| Common Stock | 5681 | Indirect |
| Common Stock | 5681 | Indirect |
| Common Stock | 5681 | Indirect |
| Common Stock | 15160 | Indirect |
| Common Stock | 21666 | Indirect |
| Common Stock | 5407 | Indirect |
| Common Stock | 5407 | Indirect |
| Common Stock | 5407 | Indirect |
Footnotes
F1: On August 23, 2024 the issuer completed a one-for-fifteen reverse stock split of its common stock. All of the share numbers have been adjusted to reflect this reverse stock split.
F2: The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee.
F3: The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee.
F4: The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
F5: The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
F6: The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee.
F7: The shares are held of record by the Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee.
F8: The shares are held of record by the John Naviaux Gift Trust for which the spouse of the reporting person serves as trustee.
F9: The shares are held of record by the James Naviaux Gift Trust for which the spouse of the reporting person serves as trustee.
F10: The shares are held of record by the Laura C Sturr Gift Trust for which the spouse of the reporting person serves as trustee.
F11: The shares subject to the option vest in 48 equal monthly installments beginning on August 20, 2018.