[144] ESS Tech, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice from ESS Tech, Inc. (GWH) reports a proposed sale of 5,001 common shares through Morgan Stanley Smith Barney (NYSE) with an aggregate market value of $6,375.27 and approximately 14,189,663 shares outstanding. The filing lists four prior restricted-stock acquisitions between May 2024 and February 2025 totaling 4,501 shares acquired, and two reported sales in August 2025 of 5,062 and 4,999 shares. The filer certifies no undisclosed material adverse information.

Positive

• None.

Negative

• Insider sale disclosed: Proposed sale of 5,001 common shares with aggregate market value $6,375.27 and prior sales of 5,062 and 4,999 shares in August 2025

Insights

Financial Analyst

TL;DR: Small disclosed insider sales that are immaterial to market capitalization but warrant routine monitoring.

These Form 144 entries show modest insider sales relative to the company's outstanding shares (5,001 vs. 14.19M outstanding). The aggregate market value reported ($6,375.27) is token-sized and unlikely to affect share liquidity or valuation materially. Recent acquisitions listed are restricted stock grants, indicating compensation-related origin of the shares sold. Impact on investors is limited absent other disclosures.

Corporate Governance Expert

TL;DR: Disclosure appears compliant with Rule 144; sales are small and consistent with executive stock vesting.

The filing names a broker, records acquisition dates for restricted stock, and includes the statutory attestation about material information, meeting procedural expectations. Multiple small sales and prior restricted-stock acquisitions suggest routine disposition of vested compensation rather than an extraordinary governance event. No evidence in the filing of undisclosed adverse information.

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	5001	6375.27	14189663	09/04/2025	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	08/20/2024	Restricted Stock	Issuer			1632	08/20/2024	Not Applicable
Common	02/20/2025	Restricted Stock	Issuer			1406	02/20/2025	Not Applicable
Common	05/20/2024	Restricted Stock	Issuer			332	05/20/2024	Not Applicable
Common	11/20/2024	Restricted Stock	Issuer			1631	11/20/2024	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	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 did ESS Tech (GWH) disclose in this Form 144?

The filing reports a proposed sale of 5,001 common shares via Morgan Stanley Smith Barney with an aggregate market value of $6,375.27 and lists recent restricted-stock acquisitions.

Who is the broker handling the proposed sale on Form 144?

The broker named is Morgan Stanley Smith Barney LLC Executive Financial Services located at 1 New York Plaza, New York, NY.

How many shares of ESS Tech are outstanding according to the filing?

The filing records 14,189,663 shares outstanding.

Were there recent sales by the same person in the past three months?

Yes. The filing lists sales on 08/29/2025 (5,062 shares) and 08/21/2025 (4,999 shares) with gross proceeds shown.

What is the origin of the shares being sold?

The securities to be sold were acquired as restricted stock from the issuer on dates between May 20, 2024 and February 20, 2025.