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ESS Tech, Inc.

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Tapewire entity
7856
SEC CIK
0001819438
Parsed reports
159

Last 12 months

Inside the activity.

1 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202604
Jun 202610
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 21, 2026 Filed Aug 24, 2026 20:10 UTC
Suhadolnik Kate EileenChief Financial Officer
SaleCommon Stock 3,927 $0.40 $1,579.44
Disclosure

SEC source: 0002083724-26-000005 · form4-08242026_080856.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,830

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
August 21, 2026 Filed Aug 24, 2026 20:08 UTC
Goodman Kelly F.SEE REMARKS
SaleCommon Stock 5,400 $0.40 $2,171.88
Disclosure

SEC source: 0002056453-26-000005 · form4-08242026_080833.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,220

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
June 04, 2026 Filed Jun 8, 2026 21:40 UTC
Buckley Drew PDirector · CEO
PurchaseCommon Stock 25,000 $1.03 $25,660.00
Disclosure

SEC source: 0002106707-26-000006 · form4-06082026_090642.xml · nonDerivative · entry 1

Buckley Drew P · CIK 0002106707 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.0073 to $1.0299, 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.

Read SEC document
May 29, 2026 Filed Jun 2, 2026 22:11 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001705428-26-000002 · form4-06022026_100635.xml · nonDerivative · entry 1

WELLMAN ALEXI · CIK 0001705428 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,399

F1 · shares: 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 29, 2026 Filed Jun 2, 2026 22:10 UTC
Quarls HarryDirector
GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001685105-26-000002 · form4-06022026_100627.xml · nonDerivative · entry 1

Quarls Harry · CIK 0001685105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,769

F1 · shares: 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 29, 2026 Filed Jun 2, 2026 22:08 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001544911-26-000002 · form4-06022026_100637.xml · nonDerivative · entry 1

Nijhawan Sandeep · CIK 0001544911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,563

F1 · shares: 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 29, 2026 Filed Jun 2, 2026 22:07 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001549086-26-000002 · form4-06022026_100602.xml · nonDerivative · entry 1

Garabedian Raffi · CIK 0001549086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,185

F1 · shares: 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 29, 2026 Filed Jun 2, 2026 22:07 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001885330-26-000002 · form4-06022026_100649.xml · nonDerivative · entry 1

Hossfeld Rich · CIK 0001885330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,372

F1 · shares: 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 22, 2026 Filed May 26, 2026 22:59 UTC
Suhadolnik Kate EileenChief Financial Officer
SaleCommon Stock 1,922 $0.93 $1,796.30
Disclosure

SEC source: 0002083724-26-000004 · form4-05262026_100556.xml · nonDerivative · entry 2

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,757

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F4 · price: The price reported in sold Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.92 to $0.95, 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.

F3 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 22, 2026 Filed May 26, 2026 22:57 UTC
Goodman Kelly F.SEE REMARKS
SaleCommon Stock 2,751 $0.93 $2,571.08
Disclosure

SEC source: 0002056453-26-000004 · form4-05262026_100524.xml · nonDerivative · entry 2

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,620

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F4 · price: The price reported in sold Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.92 to $0.95, 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.

F3 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 21, 2026 Filed May 26, 2026 22:59 UTC
Suhadolnik Kate EileenChief Financial Officer
SaleCommon Stock 1,735 $0.92 $1,592.90
Disclosure

SEC source: 0002083724-26-000004 · form4-05262026_100556.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,679

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: The price reported in sold Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.9024 to $0.971, 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.

F3 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 21, 2026 Filed May 26, 2026 22:57 UTC
Goodman Kelly F.SEE REMARKS
SaleCommon Stock 2,482 $0.92 $2,278.72
Disclosure

SEC source: 0002056453-26-000004 · form4-05262026_100524.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,371

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · price: The price reported in sold Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.9024 to $0.971, 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.

F3 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
February 20, 2026 Filed Feb 27, 2026 02:45 UTC
Suhadolnik Kate EileenChief Financial Officer
SaleCommon Stock 741 $1.54 $1,141.14
Disclosure

SEC source: 0002083724-26-000003 · form4-02272026_020250.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,414

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
February 20, 2026 Filed Feb 27, 2026 02:44 UTC
Goodman Kelly F.SEE REMARKS
SaleCommon Stock 2,269 $1.54 $3,494.26
Disclosure

SEC source: 0002056453-26-000003 · form4-02272026_020245.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,853

F1 · shares: These shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
February 13, 2026 Filed Feb 27, 2026 02:43 UTC
Suhadolnik Kate EileenChief Financial Officer
GrantStock Option (right to buy) · Derivative 137,500 $0.00 Strike: $1.44 $0.00
Disclosure

SEC source: 0002083724-26-000002 · form4-02272026_020210.xml · derivative · entry 2

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2036-02-13

F3 · derivative.exercise_date: 1/16th of the shares subject to the option shall vest on May 20, 2026 and 1/16th of the shares subject to the option shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the issuer through each such vest date.

Read SEC document
February 13, 2026 Filed Feb 27, 2026 02:43 UTC
Suhadolnik Kate EileenChief Financial Officer
GrantCommon Stock 137,500 $0.00 $0.00
Disclosure

SEC source: 0002083724-26-000002 · form4-02272026_020210.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,155

F1 · shares: The reported shares are represented by restricted stock units ("RSUs"), which vest as to 1/16th of the RSUs on May 20, 2026 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the Issuer through each such vest date.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
February 13, 2026 Filed Feb 27, 2026 02:41 UTC
Goodman Kelly F.SEE REMARKS
GrantStock Option (right to buy) · Derivative 137,500 $0.00 Strike: $1.44 $0.00
Disclosure

SEC source: 0002056453-26-000002 · form4-02272026_020247.xml · derivative · entry 2

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2036-02-13

F3 · derivative.exercise_date: 1/16th of the shares subject to the option shall vest on May 20, 2026 and 1/16th of the shares subject to the option shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the issuer through each such vest date.

Read SEC document
February 13, 2026 Filed Feb 27, 2026 02:41 UTC
Goodman Kelly F.SEE REMARKS
GrantCommon Stock 137,500 $0.00 $0.00
Disclosure

SEC source: 0002056453-26-000002 · form4-02272026_020247.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 218,122

F1 · shares: The reported shares are represented by restricted stock units ("RSUs"), which vest as to 1/16th of the RSUs on May 20, 2026 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the Issuer through each such vest date.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
January 28, 2026 Filed Jan 29, 2026 22:25 UTC
Buckley Drew PDirector · CEO
GrantStock Option (right to buy) · Derivative 550,000 $0.00 Strike: $1.68 $0.00
Disclosure

SEC source: 0002106707-26-000004 · wk-form4_1769725525.xml · derivative · entry 1

Buckley Drew P · CIK 0002106707 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2036-01-28

F1 · derivative.exercise_date: 25 % of the shares subject to the option will vest on February 20, 2027 and 1/16th of the shares subject to the option shall vest quarterly thereafter, subject to the Reporting Person remains as Service Provider to the issuer through each such vest date.

Read SEC document
November 20, 2025 Filed Nov 21, 2025 23:18 UTC Tax withholdingCommon Stock 1,299 $2.40 $3,117.60
Disclosure

SEC source: 0002083724-25-000002 · wk-form4_1763767111.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,655

F1 · shares: The reported shares were withheld by the Issuer upon vesting of RSUs to satisfy tax withholding obligations.

F2 · ownership.direct: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
November 20, 2025 Filed Nov 21, 2025 23:13 UTC
Goodman Kelly F.Interim CEO
Tax withholdingCommon Stock 4,513 $2.40 $10,831.20
Disclosure

SEC source: 0002056453-25-000005 · wk-form4_1763766811.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,622

F1 · shares: The reported shares were withheld by the Issuer upon vesting of RSUs to satisfy tax withholding obligations.

F2 · ownership.direct: portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 16:46 UTC
Teamey KyleDirector
GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001884670-25-000003 · wk-form4_1760561158.xml · nonDerivative · entry 1

Teamey Kyle · CIK 0001884670 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,740

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 20:50 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001705428-25-000005 · wk-form4_1760561419.xml · nonDerivative · entry 1

WELLMAN ALEXI · CIK 0001705428 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,886

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 20:49 UTC
Quarls HarryDirector
GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001685105-25-000005 · wk-form4_1760561338.xml · nonDerivative · entry 1

Quarls Harry · CIK 0001685105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,513

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 16:51 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001377160-25-000005 · wk-form4_1760561460.xml · nonDerivative · entry 1

NIGGLI MICHAEL R · CIK 0001377160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,825

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 20:48 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001544911-25-000003 · wk-form4_1760561309.xml · nonDerivative · entry 1

Nijhawan Sandeep · CIK 0001544911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,050

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 20:48 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001549086-25-000004 · wk-form4_1760561278.xml · nonDerivative · entry 1

Garabedian Raffi · CIK 0001549086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,672

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
October 13, 2025 Filed Oct 15, 2025 20:46 UTC GrantCommon Stock 13,513 $0.00 $0.00
Disclosure

SEC source: 0001885330-25-000003 · wk-form4_1760561176.xml · nonDerivative · entry 1

Hossfeld Rich · CIK 0001885330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,859

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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 or her 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
August 20, 2025 Filed Aug 21, 2025 22:06 UTC
Goodman Kelly F.Interim CEO
Tax withholdingCommon Stock 4,326 $1.61 $6,964.86
Disclosure

SEC source: 0002056453-25-000003 · wk-form4_1755813977.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,135

F1 · shares: The reported shares were withheld by the Issuer upon vesting of RSUs to satisfy tax withholding obligations.

F2 · ownership.direct: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
August 20, 2025 Filed Aug 29, 2025 20:04 UTC Tax withholdingCommon Stock 1,232 $1.61 $1,983.52
Disclosure

SEC source: 0001628280-25-041397 · wk-form4_1756497875.xml · nonDerivative · entry 1

Suhadolnik Kate Eileen · CIK 0002083724 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,954

F1 · shares: The reported shares were withheld by the Issuer upon vesting of RSUs to satisfy tax withholding obligations.

F2 · ownership.direct: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
August 18, 2025 Filed Sep 5, 2025 16:57 UTC GrantCommon Stock 275,000 $0.00 $0.00
Disclosure

SEC source: 0002083667-25-000002 · wk-form4_1757105874.xml · nonDerivative · entry 1

Trivedi Jigish Dhirajlal · CIK 0002083667 · COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

F1 · shares: The reported shares are represented by restricted stock units ("RSUs"), which vest as to 1/4th of the RSUs on August 20, 2026 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remains as Service Provider to the issuer through each such vest date.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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May 20, 2025 Filed May 22, 2025 20:12 UTC
Goodman Kelly F.Interim CEO
Tax withholdingCommon Stock 2,164 $1.96 $4,241.44
Disclosure

SEC source: 0001628280-25-027259 · wk-form4_1747944764.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,461

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · ownership.direct: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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May 20, 2025 Filed May 22, 2025 20:12 UTC
Rabb AnthonyChief Financial Officer
Tax withholdingCommon Stock 2,741 $1.96 $5,372.36
Disclosure

SEC source: 0001628280-25-027258 · wk-form4_1747944725.xml · nonDerivative · entry 1

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,392

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · ownership.direct: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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April 13, 2025 Filed Apr 15, 2025 20:17 UTC
Goodman Kelly F.Interim CEO
GrantCommon Stock 36,930 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-017854 · wk-form4_1744748256.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,625

F1 · shares: The reported shares are represented by restricted stock units ("RSUs"), which vest as to 1/16th of the RSUs on May 20, 2025 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the Issuer through each such vest date.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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April 13, 2025 Filed Apr 15, 2025 20:19 UTC
Rabb AnthonyChief Financial Officer
GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-017857 · wk-form4_1744748341.xml · nonDerivative · entry 9

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,133

F3 · shares: The reported shares are represented by RSUs, which vest as to 1/16th of the RSUs on May 20, 2025 and 1/16th of the RSUs shall vest quarterly thereafter, subject to the Reporting Person remaining a Service Provider to the Issuer through each such vest date.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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February 20, 2025 Filed Apr 4, 2025 20:06 UTC
Goodman Kelly F.Interim CEO
Tax withholdingCommon Stock 1,489 $4.81 $7,162.09
Disclosure

SEC source: 0001628280-25-016780 · wk-form4_1743797209.xml · nonDerivative · entry 2

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,695

F3 · shares: The reported shares were withheld by the Issuer upon vesting of RSUs to satisfy tax withholding obligations.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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February 20, 2025 Filed Apr 15, 2025 20:19 UTC
Rabb AnthonyChief Financial Officer
Tax withholdingCommon Stock 1,987 $4.81 $9,557.47
Disclosure

SEC source: 0001628280-25-017857 · wk-form4_1744748341.xml · nonDerivative · entry 8

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,633

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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February 10, 2025 Filed Apr 4, 2025 20:06 UTC
Goodman Kelly F.Interim CEO
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-016780 · wk-form4_1743797209.xml · nonDerivative · entry 1

Goodman Kelly F. · CIK 0002056453 · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,184

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest in 16 equal quarterly installments beginning on February 20, 2025.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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November 20, 2024 Filed Apr 15, 2025 20:19 UTC
Rabb AnthonyChief Financial Officer
Tax withholdingCommon Stock 1,889 $5.21 $9,841.69
Disclosure

SEC source: 0001628280-25-017857 · wk-form4_1744748341.xml · nonDerivative · entry 7

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,620

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
November 18, 2024 Filed Nov 18, 2024 21:07 UTC
Dresselhuys Eric P.Director · Chief Executive Officer
PurchaseCommon Stock 1,000 $5.23 $5,227.10
Disclosure

SEC source: 0001628280-24-048335 · wk-form4_1731982040.xml · nonDerivative · entry 1

Dresselhuys Eric P. · CIK 0001571531 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,580

F1 · balance_after: 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.

F2 · balance_after: On August 23, 2024, the Issuer completed a one-for-fifteen reverse stock split of its common stock. All of the share numbers have been adjusted to reflect this reverse stock split.

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September 11, 2024 Filed Sep 17, 2024 23:29 UTC SaleCommon Stock 7,000 $5.72 $40,040.00
Disclosure

SEC source: 0001628280-24-040700 · wk-form4_1726615754.xml · nonDerivative · entry 1

Nijhawan Sandeep · CIK 0001544911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,537

F1 · kind: The reported shares were sold to satisfy the reporting person's tax obligations in connection with the vesting of restricted stock units, or RSU's.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · balance_after: On August 23, 2024, the Issuer completed a one-for-fifteen reverse stock split of its common stock. All of the share numbers have been adjusted to reflect this reverse stock split.

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August 30, 2024 Filed Sep 3, 2024 16:57 UTC
Teamey KyleDirector
PurchaseCommon Stock 142 $6.73 $955.66
Disclosure

SEC source: 0001628280-24-039157 · wk-form4_1725397064.xml · nonDerivative · entry 1

Teamey Kyle · CIK 0001884670 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,227

F1 · balance_after: On August 23, 2024, the issuer completed a one-for-fifteen reverse stock split of its common stock. All of the share numbers have been adjusted to reflect the reverse stock split.

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August 29, 2024 Filed Sep 3, 2024 17:02 UTC Exercise / conversionStock Option (right to buy) · Derivative 11,852 $0.00 Strike: $6.88 $0.00
Disclosure

SEC source: 0001628280-24-039163 · wk-form4_1725397356.xml · derivative · entry 11

NIGGLI MICHAEL R · CIK 0001377160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,852 shares

Expires 2028-10-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · derivative.exercise_date: The shares subject to the option vest in 48 equal monthly installments beginning on August 20, 2018.

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August 29, 2024 Filed Sep 3, 2024 17:02 UTC Exercise / conversionCommon Stock 11,852 $6.88 $81,541.76
Disclosure

SEC source: 0001628280-24-039163 · wk-form4_1725397356.xml · nonDerivative · entry 1

NIGGLI MICHAEL R · CIK 0001377160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,312

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: On August 23, 2024 the issuer completed a one-for-fifteen reverse stock split of its common stock. All of the share numbers have been adjusted to reflect this reverse stock split.

Read SEC document
August 20, 2024 Filed Apr 15, 2025 20:19 UTC
Rabb AnthonyChief Financial Officer
Tax withholdingCommon Stock 1,886 $8.19 $15,454.83
Disclosure

SEC source: 0001628280-25-017857 · wk-form4_1744748341.xml · nonDerivative · entry 6

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,509

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 20, 2024 Filed Apr 15, 2025 20:19 UTC
Rabb AnthonyChief Financial Officer
Tax withholdingCommon Stock 1,886 $12.15 $22,914.90
Disclosure

SEC source: 0001628280-25-017857 · wk-form4_1744748341.xml · nonDerivative · entry 5

Rabb Anthony · CIK 0001953607 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,395

F1 · shares: The reported shares were withheld by the Issuer upon vesting of restricted stock units, or RSUs, to satisfy tax withholding obligations.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 17, 2024 Filed May 17, 2024 12:38 UTC
Teamey KyleDirector
GrantCommon Stock 202,702 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-023941 · wk-form4_1715963866.xml · nonDerivative · entry 1

Teamey Kyle · CIK 0001884670 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,311

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 17, 2024 Filed May 17, 2024 16:36 UTC GrantCommon Stock 202,702 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-023939 · wk-form4_1715963771.xml · nonDerivative · entry 1

WELLMAN ALEXI · CIK 0001705428 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 380,633

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 17, 2024 Filed May 17, 2024 16:39 UTC
Quarls HarryDirector
GrantCommon Stock 202,702 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-023943 · wk-form4_1715963971.xml · nonDerivative · entry 1

Quarls Harry · CIK 0001685105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 626,158

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
May 17, 2024 Filed May 17, 2024 12:44 UTC GrantCommon Stock 202,702 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-023947 · wk-form4_1715964252.xml · nonDerivative · entry 1

NIGGLI MICHAEL R · CIK 0001377160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 951,896

F1 · shares: The reported shares are represented by restricted stock units ("RSUs") which vest on the earlier of (i) May 17, 2025 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.

F2 · balance_after: A portion of these securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.