Ess Tech Inc SEC Filings

ESS Tech, Inc. presents director biographies, governance committee charters, recent leadership changes and financing actions in its preliminary proxy for the October 6, 2025 annual meeting. The filing discloses interim appointments: Kelly F. Goodman as Interim CEO, Kate Suhadolnik as Interim CFO and Jigish Trivedi as COO, and notes separations of former CEO Eric Dresselhuys and former CFO Anthony Rabb. The board describes committee composition and that non-employee directors receive a $50,000 annual cash retainer. The Company issued $0.9 million of promissory notes repaid with a 15% exit fee and issued warrants exercisable for 129,312 shares at $3.48. The Company seeks stockholder approval to permit issuance up to 19.99% (2,566,333 shares) under a Purchase Agreement and to approve issuance of up to 129,312 Warrant Shares. Outstanding shares used for ownership calculations: 14,551,643 as of August 31, 2025.

Trivedi Jigish Dhirajlal, COO of ESS Tech, Inc. (GWH), was granted 275,000 restricted stock units (RSUs) on 08/18/2025. The RSUs are reported at a $0 acquisition price and each RSU represents a contingent right to one share of the company’s common stock. The award vests 25% on August 20, 2026 and thereafter 1/16th each quarter, subject to the reporting person remaining a service provider through each vesting date. The Form 4 was signed by a power of attorney on 09/05/2025 and shows sole filing by one reporting person.

Form 144 notice from ESS Tech, Inc. (GWH) reports a proposed sale of 5,001 common shares through Morgan Stanley Smith Barney (NYSE) with an aggregate market value of $6,375.27 and approximately 14,189,663 shares outstanding. The filing lists four prior restricted-stock acquisitions between May 2024 and February 2025 totaling 4,501 shares acquired, and two reported sales in August 2025 of 5,062 and 4,999 shares. The filer certifies no undisclosed material adverse information.

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.

ESS Tech, Inc. (GWH) Form 4 reports that Kate Eileen Suhadolnik, serving as Interim CFO and an officer, had 1,232 shares of common stock disposed on 08/20/2025 under transaction code F at a price of $1.61 per share. The filing states these shares were withheld by the issuer upon vesting of restricted stock units to satisfy tax withholding obligations.

After the reported disposition, Ms. Suhadolnik beneficially owns 28,954 shares of common stock. The filing clarifies that a portion of the holdings are RSUs, each representing a contingent right to one share. The Form 4 is signed by power of attorney and reflects a routine insider tax-withholding disposition rather than an open-market sale.

Kate Eileen Suhadolnik, identified as Interim CFO and an officer of ESS Tech, Inc. (ticker GWH), reported beneficial ownership of 30,186 shares of common stock in an initial Form 3 filing for the event dated 08/01/2025. Of these shares, 23,805 are restricted stock units (RSUs) granted prior to Section 16 reporting obligations and the filing details multiple RSU grants with staggered vesting schedules beginning August 20, 2025. The form was signed via power of attorney on 08/28/2025.

ESS Tech, Inc. (GWH) Form 3 shows an initial Section 16 filing for Jigish Dhirajlal Trivedi, who is identified as the companys Chief Operating Officer and an officer/director. The statement, dated 08/18/2025 with a signature dated 08/28/2025, reports that no securities are beneficially owned by the reporting person at the time of this filing. The filing includes a power of attorney (Exhibit 24.1).

Kelly F. Goodman, Interim CEO and director of ESS Tech, Inc. (GWH), reported a sale of 4,326 shares of common stock on 08/20/2025 at a price of $1.61 per share. After the reported transaction, Goodman beneficially owned 85,135 shares. The filing states the 4,326 shares were withheld by the issuer upon RSU vesting to satisfy tax withholding obligations, and that a portion of the reported holdings are restricted stock units (RSUs), each representing a contingent right to receive one share.