0001628280-23-031039.txt : 20230830 0001628280-23-031039.hdr.sgml : 20230830 20230830204754 ACCESSION NUMBER: 0001628280-23-031039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230828 FILED AS OF DATE: 20230830 DATE AS OF CHANGE: 20230830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Quarls Harry CENTRAL INDEX KEY: 0001685105 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39525 FILM NUMBER: 231226616 MAIL ADDRESS: STREET 1: 14701 ST. MARY'S LANE STREET 2: SUITE 275 CITY: HOUSTON STATE: TX ZIP: 77079 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ESS Tech, Inc. CENTRAL INDEX KEY: 0001819438 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 981550150 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 wk-form4_1693442864.xml FORM 4 X0508 4 2023-08-28 0 0001819438 ESS Tech, Inc. GWH 0001685105 Quarls Harry C/O ESS TECH, INC. 26440 SW PARKWAY AVE., BLDG 83 WILSONVILLE OR 97070 1 0 0 0 0 Common Stock 2023-08-28 5 A 0 E 123456 0 A 123456 D Stock Option (right to buy) 1.43 2023-08-28 5 A 0 E 185184 0 A 2024-08-28 2034-08-27 Common Stock 185184 185184 D The reported shares are represented by restricted stock units, or RSUs, which vest as to 1/3 of the RSUs on the one year anniversary of the date of grant and 1/3 of the RSUs shall vest annually thereafter, provided that the Reporting Person remains a Service Provider to the issuer on each such vest date. A portion of these securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. 1/3 of the shares subject to the option shall vest on the one year anniversary of the date of grant and 1/3 of the shares subject to the option shall vest annually thereafter, provided that the Reporting Person remains as a Service Provider to the issuer as of each vest date. /s/ Kelly F. Goodman, by power of attorney 2023-08-28