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ESS Tech, Inc. — Director's Dealing 2024
May 17, 2024
34863_dirs_2024-05-17_a2440968-6513-446e-8395-54dbd121b4f3.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: 2024-05-15
Reporting Person: Hossfeld Rich (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-05-15 | Common Stock | D | 135373 | — | Disposed | 12500 | Direct |
| 2024-05-17 | Common Stock | A | 202702 | — | Acquired | 215202 | Direct |
Footnotes
F1: The Reporting Person has elected to decline the shares issuable upon the settlement of the Restricted Stock Unit (RSU) awarded on May 19, 2023. As a result, the RSU was cancelled on May 15, 2024.
F2: The reported shares are represented by RSUs which vest on the earlier of (i) May 17, 2025 or (ii) the day prior to the next annual meeting of stockholders. The Reporting Person has elected to defer the settlement of these RSUs to a date within 30 days of the earlier of (i) his separation of service from the Issuer within the meaning of Section 409A of the Internal Revenue Code (Section 409A) or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs, provided that such transaction qualifies as a change of control within the meaning of Section 409A.
F3: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.