Welcome to our dedicated page for ESS Tech SEC filings (Ticker: GWH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
ESS Tech, Inc. filings document the public-company records of an energy storage manufacturer focused on long-duration iron flow systems. Recent disclosures include Form 8-K reports for operating results and financial condition, material agreements, capital-structure matters, and securities identified as common stock and warrants.
The company's proxy materials cover annual meeting matters, board composition, executive compensation and corporate-governance practices. Other filings record leadership changes, shareholder voting matters, liquidity and financing disclosures, and formal updates tied to commercialization of ESS energy storage products.
Quarls Harry reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Harry Quarls received an equity award of 13,513 restricted stock units (RSUs) representing common shares. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholders’ meeting, and settlement is deferred until separation from service or a qualifying change of control. Following this grant, Quarls holds 68,769 shares and RSUs directly.
Nijhawan Sandeep reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Sandeep Nijhawan reported receiving 13,513 shares of Common Stock in the form of restricted stock units (RSUs) as a compensation award. The RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting. Each RSU represents a right to receive one share, and settlement has been deferred to within 30 days of either his separation from the company or a qualifying change of control under the company’s plan. Following this award, Nijhawan directly holds 42,563 shares of ESS Tech common stock.
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.
Garabedian Raffi reported acquisition or exercise transactions in this Form 4 filing.
ESS Tech, Inc. director Raffi Garabedian received a grant of 13,513 restricted stock units (RSUs) of Common Stock as equity compensation. Each RSU represents a right to receive one share of Common Stock once it vests and is settled.
The RSUs vest on the earlier of May 29, 2027 or the day before ESS Tech’s next annual stockholder meeting. Garabedian has elected to defer settlement so shares will be delivered within 30 days after either his separation from the company, or a qualifying change of control under the company’s plan and Section 409A rules. Following this award, he is reported as beneficially owning 53,185 shares, including RSUs.
ESS Tech, Inc. reported the results of its 2026 annual stockholder meeting held online on May 29, 2026. Of 27,922,991 common shares outstanding as of April 6, 2026, 15,682,283 were present or represented by proxy, providing the voting base for all proposals.
Stockholders elected Class II directors Sandeep Nijhawan and Harry Quarls to serve until the 2029 annual meeting. They ratified KPMG LLP as independent registered public accounting firm for the year ending December 31, 2026, and approved, on an advisory basis, the compensation of named executive officers.
Investors also supported, on an advisory basis, holding future say-on-pay votes every one year. ESS Tech plans to include a say-on-pay proposal in its proxy materials each year until the next required advisory vote on voting frequency.
ESS Tech, Inc. Chief Financial Officer Kate Eileen Suhadolnik reported small open-market sales of company stock primarily to cover tax obligations. On two days, she sold a total of 3,657 shares of ESS Tech common stock at weighted average prices around $0.92–$0.93 per share.
The footnotes state these shares were sold to cover tax withholding obligations tied to the vesting of restricted stock units. After these transactions, she still directly holds 160,757 shares of ESS Tech common stock, indicating she maintains a substantial equity position in the company.
ESS Tech, Inc. officer Kelly F. Goodman reported two open-market sales of Common Stock that were made to cover tax withholding obligations tied to vesting restricted stock units. On May 21 and 22, 2026, Goodman sold a total of 5,233 shares at weighted average prices around $0.92–$0.93 per share. After these transactions, Goodman directly holds 210,620 shares of ESS Tech common stock.
ESS Tech, Inc. Schedule 13G/A amendment shows Alyeska Investment Group, L.P. (with related Alyeska entities) beneficially owns 1,400,000 shares of Common Stock, representing 5.15% of the class as of March 31, 2026. The filing cites 27,173,757 shares outstanding per the Form 10-K dated March 5, 2026. The disclosure is a joint filing; Anand Parekh is named but disclaims beneficial ownership. The statement notes Alyeska Investment Group, L.P. exercises voting and investment control over shares held by Alyeska Master Fund, L.P.
ESS Tech, Inc. reports that Ayrton Capital LLC, Alto Opportunity Master Fund (Segregated Master Portfolio B) and Waqas Khatri each hold 3,018,635 shares of Common Stock beneficially owned through warrants, representing 9.99% of the class as of March 31, 2026.
The filing states the issuable shares are from exercisable Warrants and are subject to a 9.99% beneficial ownership blocker. The 9.99% figures are calculated using 27,173,757 shares outstanding as of February 27, 2026, per the issuer's 10-K.
ESS Tech, Inc. reported Q1 2026 results showing a small business but significant losses and funding pressure. Revenue was only $0.1 million, down sharply from $0.6 million a year earlier, as the company winds down older contracts while focusing on its Energy Base product.
Cost of revenue was $7.2 million, including higher depreciation and inventory reserves, leading to a gross loss of $7.0 million. Operating expenses fell 33% to $6.7 million, mainly from lower sales and marketing and general and administrative costs. Net loss narrowed to $15.9 million, but interest expense of $2.5 million from the Yorkville promissory note and a sale-leaseback weighed on results.
ESS ended the quarter with $15.5 million in cash and cash equivalents and $6.0 million in short‑term investments, for $21.5 million in liquid assets. Management states that continued losses and limited liquidity create substantial doubt about the company’s ability to continue as a going concern over the next 12 months without new debt or equity financing, despite recent financings including an at‑the‑market program, a registered direct offering, and the Yorkville promissory note.