Welcome to our dedicated page for Ess Tech SEC filings (Ticker: GWH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
ESS Tech, Inc. filings document the public-company records of an energy storage manufacturer focused on long-duration iron flow systems. Recent disclosures include Form 8-K reports for operating results and financial condition, material agreements, capital-structure matters, and securities identified as common stock and warrants.
The company's proxy materials cover annual meeting matters, board composition, executive compensation and corporate-governance practices. Other filings record leadership changes, shareholder voting matters, liquidity and financing disclosures, and formal updates tied to commercialization of ESS energy storage products.
ESS Tech, Inc. is accelerating development of U.S.-made sodium-ion battery energy storage systems while continuing iron flow battery work, and plans to streamline its Wilsonville operations to cut expenses and cash burn. As of May 31, 2026, it held about $13.6 million in cash, cash equivalents and short-term investments.
Updated risk factors highlight a written notice from the New York Stock Exchange that the company no longer meets the minimum share price listing standard and emphasize substantial doubt about its ability to continue as a going concern. The filing also notes early-stage sodium-ion opportunities approaching $1 billion, but stresses these are not committed orders and warns of significant technology, commercialization, supply chain and execution risks, alongside a sharp revenue decline from $6.3 million in 2024 to $1.6 million in 2025.
ESS Tech, Inc. reported a change on its board of directors. On June 12, 2026, director Rich Hossfeld resigned from the board and from the company’s Audit Committee, effective the same day. The company states that his resignation was not due to any disagreement regarding operations, policies, or practices.
Raffi Garabedian will replace Mr. Hossfeld on the Audit Committee, also effective June 12, 2026. ESS Tech expressed appreciation for Mr. Hossfeld’s years of service and contributions.
ESS Tech, Inc. reported that it received a deficiency notice from the New York Stock Exchange because its common stock failed to meet the NYSE’s minimum price standard. The NYSE cited Section 802.01C, as the 30 trading-day average closing price of ESS shares was $0.98 as of June 8, 2026, below the required $1.00 per share.
The notice does not immediately affect trading, and ESS remains listed on the NYSE during a six‑month cure period. The company plans to notify the NYSE within 10 business days of its intent to regain compliance and is evaluating options, including a potential reverse stock split, though there is no assurance it will succeed.
ESS Tech, Inc. CEO Drew P. Buckley reported an open-market purchase of 25,000 shares of Common Stock. The shares were bought on June 4, 2026 at a weighted average price of $1.0264 per share across multiple trades priced between $1.0073 and $1.0299. Following this transaction, Buckley directly holds 25,000 shares of ESS Tech common stock.
WELLMAN ALEXI reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Alexi Wellman reported receiving a grant of 13,513 shares of Common Stock in the form of restricted stock units, with no cash paid per share. Following this grant, he holds 52,399 shares directly. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting, and settlement has been deferred until within 30 days after his separation from the company or a qualifying change of control.
Quarls Harry reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Harry Quarls received an equity award of 13,513 restricted stock units (RSUs) representing common shares. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholders’ meeting, and settlement is deferred until separation from service or a qualifying change of control. Following this grant, Quarls holds 68,769 shares and RSUs directly.
Nijhawan Sandeep reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Sandeep Nijhawan reported receiving 13,513 shares of Common Stock in the form of restricted stock units (RSUs) as a compensation award. The RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting. Each RSU represents a right to receive one share, and settlement has been deferred to within 30 days of either his separation from the company or a qualifying change of control under the company’s plan. Following this award, Nijhawan directly holds 42,563 shares of ESS Tech common stock.
Hossfeld Rich reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Rich Hossfeld reported receiving a grant of 13,513 restricted stock units (RSUs) of the company’s common stock on May 29, 2026. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting. Hossfeld has elected to defer settlement so the shares will be delivered within 30 days of either his separation from the company or a qualifying change of control. Following this award, his directly held position reported in this filing is 41,372 shares.
Garabedian Raffi reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Raffi Garabedian received a grant of 13,513 restricted stock units (RSUs) of Common Stock as equity compensation. Each RSU represents a right to receive one share of Common Stock once it vests and is settled.
The RSUs vest on the earlier of May 29, 2027 or the day before ESS Tech’s next annual stockholder meeting. Garabedian has elected to defer settlement so shares will be delivered within 30 days after either his separation from the company, or a qualifying change of control under the company’s plan and Section 409A rules. Following this award, he is reported as beneficially owning 53,185 shares, including RSUs.
ESS Tech, Inc. reported the results of its 2026 annual stockholder meeting held online on May 29, 2026. Of 27,922,991 common shares outstanding as of April 6, 2026, 15,682,283 were present or represented by proxy, providing the voting base for all proposals.
Stockholders elected Class II directors Sandeep Nijhawan and Harry Quarls to serve until the 2029 annual meeting. They ratified KPMG LLP as independent registered public accounting firm for the year ending December 31, 2026, and approved, on an advisory basis, the compensation of named executive officers.
Investors also supported, on an advisory basis, holding future say-on-pay votes every one year. ESS Tech plans to include a say-on-pay proposal in its proxy materials each year until the next required advisory vote on voting frequency.