0001628280-23-039022.txt : 20231114 0001628280-23-039022.hdr.sgml : 20231114 20231114172710 ACCESSION NUMBER: 0001628280-23-039022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231114 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 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: 231408096 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 STATE OF INCORPORATION: DE 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_1700000819.xml FORM 4 X0508 4 2023-11-14 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 2023-11-14 5 P 0 E 80579 1.2695 A 250849 D The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.19 to $1.33, 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. A portion of 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 in annually thereafter, provided that the Reporting Person remains a Service Provider to the issuer on each such vest date. /s/ Kelly F. Goodman, by power of attorney 2023-11-14