[144] ESS Tech, Inc. SEC Filing

Rhea-AI Filing Summary

ESS Tech, Inc. (GWH) insider sale notice: This Form 144 reports that 3,878 restricted shares of common stock, acquired on 05/20/2025, are proposed for sale through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $6,668.22. The filing lists 14,189,663 shares outstanding, and shows multiple recent sales by the same person totaling 22,836 shares between 08/21/2025 and 09/17/2025 with combined gross proceeds reported. The filer certifies they are not aware of undisclosed material adverse information and provides broker and transaction details as required by Rule 144.

Positive

• Full Rule 144 disclosure provided including broker, acquisition date, nature of acquisition, and past three-month sales
• Filer certifies no known material nonpublic information, fulfilling the usual attestation

Negative

• Insider executed multiple sales recently (22,836 shares across five transactions) which may be noted by investors
• Proposed sale follows recent disposals, indicating ongoing insider selling activity

Insights

Securities Analyst

TL;DR: Insider proposes a small sale relative to shares outstanding; recent aggregated sales are disclosed.

The filing documents a proposed sale of 3,878 restricted shares acquired 05/20/2025, to be executed via Morgan Stanley on 09/25/2025, valued at $6,668.22. The issuer's outstanding share count is reported as 14,189,663, so the proposed sale represents a de minimis percentage of outstanding stock. The notice also lists five prior sales by the same person over the past month, totaling 22,836 shares with reported gross proceeds. For investors, the record provides transparency on insider activity but does not include operational or financial performance data.

Corporate Governance Specialist

TL;DR: Rule 144 disclosure appears complete; signer affirms no undisclosed material information.

The Form 144 includes required broker details, acquisition date and nature (restricted stock), payment and sale dates, and past three-month sale history for the same account. The signature block contains the standard representation that the filer is not aware of material nonpublic information. The filing meets procedural requirements under Rule 144 but offers no new governance actions or changes in management.

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	3878	6668.22	14189663	09/25/2025	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	05/20/2025	Restricted Stock	Issuer			3878	05/20/2025	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	09/17/2025	3000	4830.30
ANTHONY A RABB 26440 SW Parkway Ave Bldg. 83 Wilsonville OR 97070	Common	09/10/2025	4774	6790.54
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 A 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 notice reports a proposed sale of 3,878 restricted common shares acquired on 05/20/2025, to be sold via Morgan Stanley on the NYSE with aggregate market value $6,668.22.

How many ESS Tech shares are outstanding per this filing?

The filing lists 14,189,663 shares outstanding.

Were there other recent sales by the same person?

Yes. The filing discloses five sales between 08/21/2025 and 09/17/2025 totaling 22,836 shares with reported gross proceeds listed per transaction.

Who is the broker handling the proposed sale?

The broker is Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.

What type of shares were acquired and when?

The shares were acquired as restricted stock on 05/20/2025, with payment recorded on the same date.