MICHAEL R. NIGGLI - 12 May 2023 Form 4 Insider Report for ESS Tech, Inc. (GWH)

Role
Director
Signature
/s/ Kelly F. Goodman, by power of attorney
Issuer symbol
GWH
Transactions as of
12 May 2023
Net transactions value
+$22,592
Form type
4
Filing time
15 May 2023, 21:05:52 UTC
Previous filing
07 Mar 2023
Next filing
17 May 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GWH Common Stock Purchase $22,592 +20,000 +3.4% $1.13 603,821 12 May 2023 Direct F1
holding GWH Common Stock 85,228 12 May 2023 See footnote F2
holding GWH Common Stock 85,228 12 May 2023 See footnote F3
holding GWH Common Stock 85,228 12 May 2023 See footnote F4
holding GWH Common Stock 568,312 12 May 2023 See footnote F5
holding GWH Common Stock 227,407 12 May 2023 See footnote F6
holding GWH Common Stock 85,228 12 May 2023 See footnote F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.125 to $1.13, 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 sold at each separate price.
F2 The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee.
F3 The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee.
F4 The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
F5 The shares are held of record by the Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee.
F6 The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee.
F7 The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee.