[144] ESS Tech, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for ESS Tech, Inc. (GWH) reports a proposed sale of 4,774 common shares through Morgan Stanley Smith Barney on the NYSE with an aggregate market value of $6,790.54 and an approximate sale date of 09/10/2025. The filer acquired the shares as restricted stock in 2024 in three separate grants (1,658 shares on 11/20/2024; 1,659 shares on 08/20/2024; 1,457 shares on 05/20/2024). The filing also discloses three sales by the same person in the prior three months: 5,001 shares on 09/04/2025 for $6,375.27, 5,062 shares on 08/29/2025 for $7,538.84, and 4,999 shares on 08/21/2025 for $7,673.47. The filer certifies no undisclosed material adverse information and includes the standard Rule 144 representations.

Positive

• Disclosure compliance: The filer provides acquisition dates, share counts, and broker details consistent with Rule 144 reporting requirements
• Transaction detail: Proposed sale, prior sales, and gross proceeds are explicitly disclosed, giving transparent transactional information

Negative

• Insider selling activity: Multiple recent sales totaling 15,062 shares in August–September 2025 and a proposed sale of 4,774 shares may be viewed negatively by some investors

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice disclosing scheduled sale and recent dispositions; appears to follow Rule 144 reporting requirements.

The filing documents a proposed sale of 4,774 restricted common shares on 09/10/2025 through Morgan Stanley Smith Barney and lists prior sales in August and September 2025. Acquisition dates and amounts for the restricted grants in 2024 are provided, which supports the seller's ability to rely on Rule 144 sale conditions related to holding periods and transfer restrictions. The signed representation about absence of undisclosed material adverse information is included as required. No forward-looking statements or additional corporate actions are disclosed.

Corporate Governance Expert

TL;DR: Insider dispositions are disclosed clearly; the filing is informational and not itself a corporate governance event.

The notice lists both a proposed sale and multiple recent completed sales by the same individual, specifying share counts and gross proceeds. While insider selling can be of investor interest, this form is an administrative disclosure documenting compliance with Rule 144 rather than announcing management changes, litigation, or material corporate events. All key transactional details provided are factual and limited to the securities transactions themselves.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	4774	6790.54	14189663	09/10/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	11/20/2024	Restricted Stock	Issuer			1658	11/20/2024	Not Applicable
Common	08/20/2024	Restricted Stock	Issuer			1659	08/20/2024	Not Applicable
Common	05/20/2024	Restricted Stock	Issuer			1457	05/20/2024	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
ANTHONY A RABB 26440 SW Parkway Ave Bldg. 83 Wilsonville OR 97070	Common	09/04/2025	5001	6375.27
ANTHONY A RABB 26440 SW Parkway Ave Bldg. 83 Wilsonville OR 97070	Common	08/29/2025	5062	7538.84
Anthony Rabb 26440 SW Parkway Ave Bldg. 83 Wilsonville OR 97070	Common	08/21/2025	4999	7673.47

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 for ESS Tech (GWH) report?

The form reports a proposed sale of 4,774 common shares via Morgan Stanley Smith Barney with an aggregate market value of $6,790.54, approximate sale date 09/10/2025.

When were the shares to be sold originally acquired?

The shares were acquired as restricted stock in 2024: 1,658 on 11/20/2024, 1,659 on 08/20/2024, and 1,457 on 05/20/2024.

What recent sales by the same person are disclosed in the filing?

Three sales in the past three months: 5,001 shares on 09/04/2025 for $6,375.27, 5,062 on 08/29/2025 for $7,538.84, and 4,999 on 08/21/2025 for $7,673.47.

Through which broker will the proposed sale be executed?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services on the NYSE.

Does the filer assert any undisclosed material information?

By signing the notice the filer represents they do not know any material adverse information about the issuer that has not been publicly disclosed.