Breakthrough Energy Ventures, LLC - 08 Oct 2021 Form 3 Insider Report for ESS Tech, Inc. (GWH)

Role: 10%+ Owner
Signature: BREAKTHROUGH ENERGY VENTURES, LLC By: BREAKTHROUGH ENERGY INVESTMENTS, LLC, its manager By: /s/ Christian Garcia Name: Christian Garcia Title: Authorized Signatory
Issuer symbol: GWH
Transactions as of: 08 Oct 2021
Net transactions value: $0
Form type: 3
Filing time: 18 Oct 2021, 18:50:57 UTC
Next filing: 12 Nov 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	GWH	Common Stock, $0.0001 par value per share						16,037,874	08 Oct 2021	Direct

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Remarks:

The shares of Common Stock, par value $0.0001 per share, of ESS Tech, Inc. are held directly by Breakthrough Energy Ventures, LLC. Breakthrough Energy Investments, LLC serves as manager of Breakthrough Energy Ventures, LLC. By reason of such relationship, Breakthrough Energy Investments, LLC may be deemed to share voting and dispositive power over the Common Stock listed as beneficially owned by Breakthrough Energy Ventures, LLC. Breakthrough Energy Investments, LLC disclaims beneficial ownership of all such shares, except to the extent of its pecuniary interest.