[144] ESS Tech, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 filed by an insider of ESS Tech, Inc. (GWH) discloses a proposed sale of 5,062 common shares through Morgan Stanley Smith Barney on the NYSE, with an aggregate market value of $7,538.84. The filing shows the shares to be sold were acquired as restricted stock on multiple dates in 2023 and 2024, in lots of 1,288; 218; 212; 1,503; and 1,841 shares. The filing also reports a sale by the same person, Anthony Rabb, of 4,999 shares on 08/21/2025 for gross proceeds of $7,673.47.

The number of shares outstanding reported in the notice is 14,189,663, so the proposed sale represents a very small fraction of outstanding shares. The filer certifies they are not aware of any undisclosed material adverse information about the issuer. No earnings, forward guidance, or other operational details are included.

Insights

Financial Analyst

TL;DR: Insider proposes a modest sale of 5,062 shares; impact on market and cap structure is immaterial given the share base.

The proposed transaction is routine: the securities were granted as restricted stock across multiple grant dates and will be sold through a broker, with prior near-term sales of 4,999 shares recorded. The aggregate values shown (~$7.5k) are negligible relative to the reported 14.2 million shares outstanding, indicating no meaningful dilution or signaling of large insider liquidity needs. From a valuation or capital-structure perspective, this filing is immaterial.

Corporate Governance Expert

TL;DR: Disclosure follows Rule 144 mechanics; certifications about material information are standard and present.

The notice complies with Rule 144 presentation: it lists acquisition dates, nature of acquisition (restricted stock), and prior sales within three months. The signer affirms absence of undisclosed material adverse information and references trading-plan considerations. There is no indication of unusual trading patterns or large block dispositions that would raise governance concerns.

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	5062	7538.84	14189663	08/29/2025	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	11/20/2023	Restricted Stock	Issuer			1288	11/20/2023	Not Applicable
Common	05/20/2023	Restricted Stock	Issuer			218	05/20/2023	Not Applicable
Common	08/20/2023	Restricted Stock	Issuer			212	08/20/2023	Not Applicable
Common	05/20/2024	Restricted Stock	Issuer			1503	05/20/2024	Not Applicable
Common	02/20/2024	Restricted Stock	Issuer			1841	02/20/2024	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 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) disclose?

The filing discloses a proposed sale of 5,062 common shares through Morgan Stanley Smith Barney on 08/29/2025, aggregate market value $7,538.84.

Who is the seller and did they sell shares recently?

The seller named is Anthony Rabb, who sold 4,999 shares on 08/21/2025 for gross proceeds of $7,673.47.

How were the shares acquired that are now being sold?

All listed shares to be sold were received as restricted stock from the issuer on various dates in 2023 and 2024 (examples: 11/20/2023, 05/20/2024, 02/20/2024).

What portion of the company do these shares represent?

The filing reports 14,189,663 shares outstanding; the proposed 5,062-share sale is a very small fraction of that total.

Does the filer claim undisclosed material information about the company?

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