ESS Tech director granted 13,513 RSUs

Hossfeld Rich reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Hossfeld Rich reported acquisition or exercise transactions in this Form 4 filing.

ESS Tech, Inc. director Rich Hossfeld reported receiving a grant of 13,513 restricted stock units (RSUs) of the company’s common stock on May 29, 2026. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting. Hossfeld has elected to defer settlement so the shares will be delivered within 30 days of either his separation from the company or a qualifying change of control. Following this award, his directly held position reported in this filing is 41,372 shares.

Insider Trade Summary

Grant/Award: 13,513 shares

Grant/Award 1 txn

Insider Hossfeld Rich

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	13,513	$0.00	$0.00

Holdings After Transaction: Common Stock — 41,372 shares (Direct)

Footnotes (2)

1. F1. The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of (i) May 29, 2027 or (ii) the day prior to the next annual meeting of stockholders. The Reporting Person has elected to defer the settlement of these RSUs to a date within 30 days of the earlier of (i) his separation of service from the Issuer within the meaning of Section 409A of the Internal Revenue Code (Section 409A) or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs, provided that such transaction qualifies as a change of control within the meaning of Section 409A.
2. F2. A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Key Figures

RSUs granted: 13,513 RSUs Vesting date: May 29, 2027 Post-transaction holdings: 41,372 shares +1 more

4 metrics

RSUs granted 13,513 RSUs Equity award to director on May 29, 2026

Vesting date May 29, 2027 Earlier of this date or day before next annual meeting

Post-transaction holdings 41,372 shares Direct holdings following the RSU grant

Settlement window Within 30 days After separation from service or qualifying change of control

Key Terms

restricted stock units, RSUs, Section 409A, change of control

4 terms

restricted stock units financial

"The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of (i) May 29, 2027..."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

RSUs financial

"A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share..."

RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.

Section 409A regulatory

"within the meaning of Section 409A of the Internal Revenue Code (Section 409A)..."

change of control financial

"or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs..."

A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did ESS Tech (GWH) report for Rich Hossfeld?

ESS Tech director Rich Hossfeld reported receiving an equity grant of 13,513 restricted stock units. The award is compensation, not an open-market trade, and represents additional contingent rights to company common shares subject to vesting and settlement conditions.

How many ESS Tech (GWH) RSUs were granted to Rich Hossfeld?

Rich Hossfeld was granted 13,513 restricted stock units tied to ESS Tech common stock. Each RSU represents a contingent right to receive one share, subject to vesting on a future date and later settlement into actual shares.

When do Rich Hossfeld’s new ESS Tech (GWH) RSUs vest?

The RSUs vest on the earlier of May 29, 2027 or the day before ESS Tech’s next annual stockholder meeting. Vesting must occur before the contingent rights convert into the ability to receive common stock under the award terms.

When will Rich Hossfeld receive ESS Tech (GWH) shares from these RSUs?

Hossfeld elected to defer settlement until within 30 days of the earlier of his separation from ESS Tech or a qualifying change of control. Only at that settlement time will vested RSUs convert into delivered common shares.

What is Rich Hossfeld’s ESS Tech (GWH) share position after this Form 4?

After the reported RSU grant, Hossfeld’s direct holdings reported in the filing total 41,372 shares. This figure reflects his position immediately following the award, combining previously held and newly granted equity reported as common stock.

Does the ESS Tech (GWH) Form 4 show any stock sales by Rich Hossfeld?

The Form 4 shows only an acquisition via an RSU grant coded as a grant, award, or other acquisition. There are no reported open-market purchases, sales, gifts, or tax-withholding dispositions in this particular filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/02/2026 - 06:07 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Hossfeld Rich

(Last) (First) (Middle)

C/O ESS TECH, INC.

26440 SW PARKWAY AVE., BLDG. 83

(Street)

WILSONVILLE OREGON 97070

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ESS Tech, Inc. [ GWH ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/29/2026		A		13,513(1)	A	$0	41,372(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of (i) May 29, 2027 or (ii) the day prior to the next annual meeting of stockholders. The Reporting Person has elected to defer the settlement of these RSUs to a date within 30 days of the earlier of (i) his separation of service from the Issuer within the meaning of Section 409A of the Internal Revenue Code (Section 409A) or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs, provided that such transaction qualifies as a change of control within the meaning of Section 409A.

2. A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

	/s/ Kate Suhadolnik, by power of attorney	06/02/2026
	** 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 4 (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.
* Form 4: SEC 1474 (03-26)