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  4. [Form 4] ESS Tech, Inc. Insider Trading Activity

Director at ESS Tech (GWH) receives 13,513 restricted stock units

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

WELLMAN ALEXI reported acquisition or exercise transactions in this Form 4 filing.

ESS Tech, Inc. director Alexi Wellman reported receiving a grant of 13,513 shares of Common Stock in the form of restricted stock units, with no cash paid per share. Following this grant, he holds 52,399 shares directly. These RSUs vest on the earlier of May 29, 2027 or the day before the next annual stockholder meeting, and settlement has been deferred until within 30 days after his separation from the company or a qualifying change of control.

Positive

  • None.

Negative

  • None.
Insider WELLMAN ALEXI
Role null
Type Security Shares Price Value
Grant/Award Common Stock 13,513 $0.00 --
Holdings After Transaction: Common Stock — 52,399 shares (Direct, null)
Footnotes (1)
  1. The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of (i) May 29, 2027 or (ii) the day prior to the next annual meeting of stockholders. The Reporting Person has elected to defer the settlement of these RSUs to a date within 30 days of the earlier of (i) his separation of service from the Issuer within the meaning of Section 409A of the Internal Revenue Code (Section 409A) or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs, provided that such transaction qualifies as a change of control within the meaning of Section 409A. A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
RSU grant size 13,513 shares Restricted stock units granted on May 29, 2026
Grant price per share $0.00 per share RSU award to director Alexi Wellman
Total holdings after grant 52,399 shares Common Stock directly held following the transaction
RSU vesting date May 29, 2027 Vests on this date or earlier if before next annual meeting
Deferral settlement window 30 days Settlement within 30 days after separation or qualifying change of control
restricted stock units ("RSUs") financial
"The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of"
Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.
Section 409A financial
"within the meaning of Section 409A of the Internal Revenue Code (Section 409A)"
change of control financial
"the date on which a change of control (as defined in the Issuer's plan) occurs"
A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
WELLMAN ALEXI
(Last)(First)(Middle)
C/O ESS TECH, INC.
26440 SW PARKWAY AVE., BLDG. 83
(Street)
WILSONVILLE OREGON 97070
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ESS Tech, Inc. [ GWH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/29/2026A13,513(1)A$052,399(2)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The reported shares are represented by restricted stock units ("RSUs"), which vest on the earlier of (i) May 29, 2027 or (ii) the day prior to the next annual meeting of stockholders. The Reporting Person has elected to defer the settlement of these RSUs to a date within 30 days of the earlier of (i) his separation of service from the Issuer within the meaning of Section 409A of the Internal Revenue Code (Section 409A) or (ii) the date on which a change of control (as defined in the Issuer's plan) occurs, provided that such transaction qualifies as a change of control within the meaning of Section 409A.
2. A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
/s/ Kate Suhadolnik, by power of attorney06/02/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did ESS Tech (GWH) report for Alexi Wellman?

ESS Tech reported that director Alexi Wellman received 13,513 shares of Common Stock through a grant of restricted stock units. The award was recorded at a price of $0.00 per share as part of his director compensation.

How many ESS Tech (GWH) shares does Alexi Wellman hold after this Form 4?

After this grant, Alexi Wellman holds 52,399 shares of ESS Tech Common Stock directly. This total includes the 13,513 newly granted restricted stock units, each representing a contingent right to receive one share when settled.

When do Alexi Wellman’s new ESS Tech (GWH) RSUs vest?

The restricted stock units granted to Alexi Wellman vest on the earlier of May 29, 2027 or the day prior to ESS Tech’s next annual meeting of stockholders. Vesting is a key step before the RSUs can ultimately settle into common shares.

How are Alexi Wellman’s ESS Tech (GWH) RSUs settled under this grant?

Alexi Wellman elected to defer settlement of these RSUs. They will settle within 30 days of either his separation from ESS Tech, as defined under Section 409A, or a qualifying change of control under the company’s plan.

What does each ESS Tech (GWH) RSU granted to Alexi Wellman represent?

Each restricted stock unit granted to Alexi Wellman represents a contingent right to receive one share of ESS Tech Common Stock. Actual share delivery occurs only after the RSUs vest and are settled under the elected deferral terms.