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. provides an update on its liquidity, stating that as of July 31, 2026 it held approximately $5.6 million in cash, cash equivalents and short-term investments.
The company notes that its independent registered public accounting firm has not audited, reviewed or performed any procedures on these balances and does not provide any opinion or assurance. The information is furnished under a current report rather than treated as filed for certain securities law purposes.
ESS Tech, Inc. entered into an amendment to its Sales Agreement for its “at the market offering” program on July 16, 2026. The amendment updates the agreement originally dated November 13, 2025 covering sales of its common stock.
Under the revised arrangement, ESS Tech terminated the Sales Agreement with respect to BMO Capital Markets, Canaccord Genuity, Needham & Company, and Stifel, and added Roth Capital Partners as an additional sales agent. Roth also assumes the role of “qualified independent underwriter” under FINRA Rule 5121, replacing Canaccord. ESS Tech filed a corresponding amendment to its prospectus supplement related to the program and noted that Yorkville Ives and Roth or their affiliates may provide future banking and advisory services for customary fees.
ESS Tech, Inc. is updating the terms of its at-the-market equity program for up to $75,000,000 of common stock under an Amended Sales Agreement. The company removed BMO Capital Markets, Canaccord Genuity, Needham & Company, and Stifel from the group of sales agents and added Roth Capital Partners as a new Agent.
Roth has also replaced Canaccord as the qualified independent underwriter under FINRA Rule 5121, and ESS Tech has agreed to indemnify Roth against certain liabilities, including under the Securities Act of 1933. From December 11, 2025 through this supplement date, ESS Tech sold 4,324,577 shares of common stock for an aggregate offering price of approximately $6,238,450, leaving common stock with an aggregate offering price of approximately $68,761,550 available to be offered under the Amended Sales Agreement.
The company’s common stock trades on the NYSE under the symbol GWH, and the last quoted sale price on July 15, 2026 was $1.02 per share.
ESS Tech, Inc. is the subject of a Form 25 notification reporting the removal of a class of its securities from listing and registration on the New York Stock Exchange LLC. The class affected is warrants, each exercisable for one‑fifteenth (1/15) of a share of Common Stock at an exercise price of $172.50. The filing cites compliance with 17 CFR 240.12d2-2 and related provisions and is submitted by the Exchange.
ESS Tech, Inc. reported that the New York Stock Exchange plans to delist its publicly traded warrants and has already suspended their trading. On June 30, 2026, the NYSE notified the company that the Public Warrants trading under symbol GWH.W were being suspended and delisting proceedings would begin due to "abnormally low" trading price levels under Section 802.01D of the NYSE Listed Company Manual. Each fifteen Public Warrants is exercisable for one share of common stock at an exercise price of $172.50 per share. The company’s common stock, trading under symbol GWH, remains listed on the NYSE and continues trading, subject to compliance with other continued listing requirements.
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.