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ESS Tech (NYSE: GWH) CEO discloses 50,000 stock options holding

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

ESS Tech, Inc. CEO and director Buckley Drew P filed an initial ownership report showing a stock option covering 50,000 shares of common stock with a $2 exercise price. This option is held directly.

According to the vesting terms, 40% of the option vested on October 9, 2025. The remaining shares vest in three equal monthly installments beginning on November 30, 2025. No other non-derivative or derivative holdings are listed.

Positive

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Insider Buckley Drew P
Role CEO
Type Security Shares Price Value
holding Stock Option (right to buy) -- -- --
Holdings After Transaction: Stock Option (right to buy) — 50,000 shares (Direct)
Footnotes (1)
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SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Buckley Drew P
(Last) (First) (Middle)
C/O ESS TECH, INC
26440 SW PARKWAY AVE
(Street)
WILSONVILLE OR 97070
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2026 		3. Issuer Name and Ticker or Trading Symbol
ESS Tech, Inc. [ GWH ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CEO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) (1) 10/09/2035 Common Stock 50,000 $2 D
Explanation of Responses:
1. 40% of the shares subject to the option vested on October 9, 2025 and the remaining shares vest in three equal monthly installments beginning on November 30, 2025.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Kate Suhadolnik, by power of attorney 01/29/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did ESS Tech (GWH) CEO report in this Form 3 filing?

The filing shows CEO and director Buckley Drew P beneficially owns a stock option for 50,000 ESS Tech common shares at $2 per share. This is an initial ownership report, detailing his existing derivative security position and vesting terms.

How many ESS Tech (GWH) shares are covered by Drew Buckley’s stock option?

The disclosed stock option covers 50,000 shares of ESS Tech common stock. These shares are underlying a single option award reported as directly owned, providing potential future equity exposure if the option is exercised at its stated exercise price.

At what exercise price are the ESS Tech (GWH) options held by the CEO?

The reported stock option held by the CEO has an exercise price of $2 per share. This means he can purchase up to 50,000 ESS Tech common shares at that price once the option is fully vested and subject to any applicable exercise conditions.

What is the vesting schedule for the ESS Tech (GWH) CEO’s 50,000-share option?

According to the filing, 40% of the option vested on October 9, 2025. The remaining 60% vests in three equal monthly installments beginning on November 30, 2025, gradually increasing the CEO’s exercisable portion over that period.

Does the ESS Tech (GWH) Form 3 list any non-derivative share ownership for the CEO?

The Form 3 table for non-derivative securities does not list any common shares. Only a derivative security—a stock option for 50,000 shares of common stock at $2 per share—is reported as beneficially owned directly.