ESS Tech (GWH) director gets 13,513 RSUs; holds 39,672 shares

ESS Tech (GWH) reported an insider equity award on a Form 4.

Accepted by SEC EDGAR 10/15/2025 - 04:48 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ESS Tech (GWH) reported an insider equity award on a Form 4. A director acquired 13,513 shares of Common Stock on 10/13/2025, reported as restricted stock units (RSUs) at $0. Following the transaction, beneficial ownership is reported at 39,672.

The RSUs vest on the earlier of May 17, 2025 or the day prior to the next annual meeting of stockholders. The reporting person elected to defer settlement of these RSUs to within 30 days of separation of service or a qualifying change of control under Section 409A. The filing indicates direct ownership and was filed by one reporting person in the capacity of Director.

Insider Trade Summary

Grant/Award: 13,513 shares

Grant/Award 1 txn

Insider Garabedian Raffi

Role Director

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

Holdings After Transaction: Common Stock — 39,672 shares (Direct)

Footnotes (2)

1. F1. The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

FAQ

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

What did ESS Tech (GWH) disclose in this Form 4?

A director acquired 13,513 RSUs at $0 on 10/13/2025, with total beneficial ownership reported at 39,672.

When do the RSUs for ESS Tech (GWH) vest?

They vest on the earlier of May 17, 2025 or the day prior to the next annual meeting of stockholders.

What deferral election was made for the RSUs?

Settlement is deferred to within 30 days of separation of service or a qualifying change of control under Section 409A.

What is the reporting person’s relationship to ESS Tech (GWH)?

The reporting person is a Director and filed as one reporting person with direct ownership.

How many securities are beneficially owned after the transaction?

Beneficial ownership is reported at 39,672. A portion consists of RSUs, each representing one share upon settlement.

What was the transaction price for the RSUs?

The RSUs were reported at a price of $0, consistent with equity awards.

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

Form 4 Insider Transactions: What Each Field Means →

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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).

1. Name and Address of Reporting Person^*

Garabedian Raffi

(Last) (First) (Middle)

C/O ESS TECH, INC.

26440 SW PARKWAY AVE., BLDG. 83

(Street)

WILSONVILLE OR 97070

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
10/13/2025

4. 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 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	10/13/2025		A		13,513(1)	A	$0	39,672(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 17, 2025 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 or her 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.

Remarks:

	/s/ Kate Suhadolnik, by power of attorney	10/15/2025
	** 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.