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.
ESS Tech (GWH) reported an insider equity award. A director acquired 13,513 restricted stock units (RSUs) on 10/13/2025 at a stated price of $0, bringing direct beneficial ownership to 29,050 shares after the transaction.
The RSUs vest on the earlier of May 17, 2025 or the day prior to the next annual stockholder meeting. Settlement is deferred to within 30 days of the earlier of the director’s separation from service or a qualifying change of control under Section 409A. Each RSU represents the right to receive one share of common stock.
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.
ESS Tech (GWH) reported a Form 4 showing a director acquired 13,513 restricted stock units on 10/13/2025 at $0. Following the transaction, the reporting person beneficially owns 27,859 shares directly.
The RSUs vest on the earlier of May 17, 2025 or the day prior to the next annual meeting of stockholders. Settlement has been deferred to within 30 days of the earlier of separation from service or a qualifying change of control under Section 409A.
ESS Tech, Inc. (GWH) director reported an acquisition of 13,513 restricted stock units (RSUs) on 10/13/2025 at a price of $0, according to a Form 4. Following the transaction, the reporting person beneficially owns 38,740 shares directly.
Each RSU represents the right to receive one share of common stock. 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 to a date within 30 days of the earlier of separation of service or a qualifying change of control under Section 409A.
ESS Tech (GWH) entered into an unsecured promissory note with Yorkville for up to $40 million in two tranches. The first tranche totals $30 million and the second $10 million, each reduced by an 8% original issue discount and fees. The note accrues interest at 3% per year, amortizes through its term, and matures on October 14, 2026. Proceeds may be used for working capital and general corporate purposes.
Access to the second tranche is conditioned on requirements including entering into a sales agreement for an at-the-market program with Yorkville Securities, LLC and having $20 million or less outstanding from the first tranche. In connection with the financing, ESS issued a warrant to Yorkville to purchase up to 1,052,104 shares at an exercise price of $9.98 per share, exercisable for five years, payable in cash or via net exercise. The warrant and underlying shares rely on private placement exemptions.
ESS Tech, Inc. (GWH) reported final results from its reconvened 2025 Annual Meeting. Stockholders elected one Class I director, ratified KPMG LLP as independent auditor for the year ending December 31, 2025, and approved an NYSE share issuance proposal.
The NYSE proposal authorizes issuance of common stock in excess of 19.99% of outstanding shares for up to $25 million of securities under a standby equity purchase agreement and up to 129,312 shares upon exercise of certain warrants. As of the record date September 16, 2025, shares outstanding were 14,740,884, and 7,667,105 shares were present or represented by proxy at the meeting.
Voting outcomes: the director nominee received 7,439,737 votes for; the auditor ratification received 7,586,982 votes for; and the NYSE share issuance proposal received 7,434,603 votes for.
ESS Tech, Inc. (GWH) insider sale notice: This Form 144 reports that 3,878 restricted shares of common stock, acquired on 05/20/2025, are proposed for sale through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $6,668.22. The filing lists 14,189,663 shares outstanding, and shows multiple recent sales by the same person totaling 22,836 shares between 08/21/2025 and 09/17/2025 with combined gross proceeds reported. The filer certifies they are not aware of undisclosed material adverse information and provides broker and transaction details as required by Rule 144.
ESS Tech, Inc. provides directors' biographies, committee compositions, governance procedures, recent executive changes, and certain equity plan details in its definitive proxy statement. The filing highlights new and continuing board members with energy and cleantech experience, including Michael R. Niggli, Sandeep Nijhawan, and chairman Harry Quarls, and describes committee memberships for audit, compensation, and nominating and corporate governance. The audit committee met five times in 2024 and the compensation committee met three times. The board revised its Director Compensation Policy in January 2025 to fix the annual restricted stock unit award by shares and directors agreed to forego cash pay for fiscal 2025. Leadership changes disclosed include the separation of CEO Eric Dresselhuys (last day Feb 14, 2025), termination of CFO Anthony Rabb (effective Aug 1, 2025), appointment of Kelly F. Goodman as Interim CEO, Kate Suhadolnik as Interim CFO (Aug 1, 2025), and Jigish Trivedi as COO (Aug 18, 2025). The 2021 equity plan automatic refresh and ESPP refresh mechanics are described, with a 2025 Plan increase of 599,325 shares noted.
Form 144 filed for ESS Tech, Inc. (GWH). The notice reports a proposed sale of 3,000 common shares via Morgan Stanley Smith Barney on 09/17/2025 with an aggregate market value of $4,830.30. The filing shows the shares were acquired as restricted stock on 02/20/2025 (1,785 shares) and 05/20/2025 (1,215 shares), with payment dates matching acquisition dates. It discloses the issuer has 14,189,663 shares outstanding. The filer also reported multiple recent sales by Anthony A Rabb in August and September 2025 totaling 19,836 shares for gross proceeds of $28,378.12 across four transactions. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.
Form 144 notice for ESS Tech, Inc. (GWH) reports a proposed sale of 4,774 common shares through Morgan Stanley Smith Barney on the NYSE with an aggregate market value of $6,790.54 and an approximate sale date of 09/10/2025. The filer acquired the shares as restricted stock in 2024 in three separate grants (1,658 shares on 11/20/2024; 1,659 shares on 08/20/2024; 1,457 shares on 05/20/2024). The filing also discloses three sales by the same person in the prior three months: 5,001 shares on 09/04/2025 for $6,375.27, 5,062 shares on 08/29/2025 for $7,538.84, and 4,999 shares on 08/21/2025 for $7,673.47. The filer certifies no undisclosed material adverse information and includes the standard Rule 144 representations.