0001628280-22-032080.txt : 20221216 0001628280-22-032080.hdr.sgml : 20221216 20221216144938 ACCESSION NUMBER: 0001628280-22-032080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221215 FILED AS OF DATE: 20221216 DATE AS OF CHANGE: 20221216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NIGGLI MICHAEL R CENTRAL INDEX KEY: 0001377160 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39525 FILM NUMBER: 221467662 MAIL ADDRESS: STREET 1: 101 ASH STREET HQ18 CITY: SAN DIEGO STATE: CA ZIP: 92101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ESS Tech, Inc. CENTRAL INDEX KEY: 0001819438 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26440 SW PARKWAY AVE. STREET 2: BLDG. 83 CITY: WILSONVILLE STATE: OR ZIP: 97070 BUSINESS PHONE: (855) 423-9920 MAIL ADDRESS: STREET 1: 26440 SW PARKWAY AVE. STREET 2: BLDG. 83 CITY: WILSONVILLE STATE: OR ZIP: 97070 FORMER COMPANY: FORMER CONFORMED NAME: ACON S2 Acquisition Corp. DATE OF NAME CHANGE: 20200728 4 1 wf-form4_167122014917015.xml FORM 4 X0306 4 2022-12-15 0 0001819438 ESS Tech, Inc. GWH 0001377160 NIGGLI MICHAEL R C/O ESS TECH, INC. 26440 SW PARKWAY AVE., BLDG. 83 WILSONVILLE OR 97070 1 0 0 0 Common Stock 2022-12-15 4 P 0 19100 2.56 A 578821 D Common Stock 568312 I See footnote Common Stock 227407 I See footnote Common Stock 85228 I See footnote Common Stock 85228 I See footnote Common Stock 85228 I See footnote Common Stock 85228 I See footnote The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.545 to $2.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. The shares are held of record by the Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee. The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee. The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee. The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee. The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee. The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee. /s/Kelly F. Goodman, by power of attorney for Michael R. Niggli 2022-12-16