Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ESS Tech, Inc.GWH · Entity 7856 | Director · President | March 13, 2023 | March 14, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ESS Tech, Inc.
Report date March 13, 2023 · Filed March 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote. | 2,859,868 |
Reported balance
After 2023-03-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-03-13 · Grant · Acquired 467,694 · Balance 2,859,868 F1: The shares are represented by restricted stock units, or RSUs, which vest in 16 equal quarterly installments beginning on May 20, 2023. F2: The shares are held directly by Julia Song. The reporting persons are husband and wife. |
| Common StockSEC Table I · non-derivative | Direct | 5,561,524 |
Reported balance
Holding disclosure · report date 2023-03-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,561,524 |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are represented by restricted stock units, or RSUs, which vest in 16 equal quarterly installments beginning on May 20, 2023.
F2: The shares are held directly by Julia Song. The reporting persons are husband and wife.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 13, 2023 Filed Mar 14, 2023 21:56 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 467,694 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-007911 · wf-form4_167883098291467.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote. Disclosed balance after: 2,859,868 F1 · shares: The shares are represented by restricted stock units, or RSUs, which vest in 16 equal quarterly installments beginning on May 20, 2023. F2 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| February 21, 2023 Filed Feb 23, 2023 21:09 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 4,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-004820 · wf-form4_167718654899550.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote. Disclosed balance after: 2,392,174 F1 · shares: 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 Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. F3 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| February 21, 2023 Filed Feb 23, 2023 21:09 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 5,536 | $2.04 | $11,293.44 |
DisclosureSEC source: 0001628280-23-004820 · wf-form4_167718654899550.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,561,524 F1 · shares: 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 Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| November 21, 2022 Filed Nov 22, 2022 19:20 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 8,217 | $3.82 | $31,379.08 |
DisclosureSEC source: 0001628280-22-030637 · wf-form4_166914480730528.xml · nonDerivative · entry 4 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,583,400 F4 · 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. Read SEC document |
| November 21, 2022 Filed Nov 22, 2022 19:20 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 6,350 | $3.82 | $24,249.38 |
DisclosureSEC source: 0001628280-22-030637 · wf-form4_166914480730528.xml · nonDerivative · entry 3 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote. Disclosed balance after: 2,397,089 F4 · 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 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| November 21, 2022 Filed Nov 22, 2022 19:20 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 50,000 | $3.52 | $175,935.00 |
DisclosureSEC source: 0001628280-22-030637 · wf-form4_166914480730528.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,591,617 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.48 to $3.565, 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. Read SEC document |
| November 18, 2022 Filed Nov 22, 2022 19:20 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 50,000 | $3.93 | $196,685.00 |
DisclosureSEC source: 0001628280-22-030637 · wf-form4_166914480730528.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote. Disclosed balance after: 2,403,439 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.875 to $3.985, 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 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 21:38 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 16,340 | $3.72 | $60,784.80 |
DisclosureSEC source: 0001628280-22-026698 · wf-form4_166622989830733.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,625,277 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 Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 21:38 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 12,628 | $3.72 | $46,976.16 |
DisclosureSEC source: 0001628280-22-026698 · wf-form4_166622989830733.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote. Disclosed balance after: 2,453,439 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 · ownership.direct: The shares are held directly by Julia Song. The reporting persons are husband and wife. F2 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 18:54 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 207,367 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-005505 · doc4.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,466,067 F1 · shares: The shares are represented by restricted stock units, or RSUs, which vest in 16 equal quarterly installments beginning on May 20, 2022. F3 · balance_after: Reflects an increase of 73 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021. F4 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| February 08, 2022 Filed Feb 9, 2022 18:54 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 268,358 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-005505 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,641,617 F1 · shares: The shares are represented by restricted stock units, or RSUs, which vest in 16 equal quarterly installments beginning on May 20, 2022. F2 · balance_after: Reflects an increase of 176 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021. Read SEC document |
| January 24, 2022 Filed Jan 25, 2022 16:10 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 1,342 | $6.05 | $8,122.86 |
DisclosureSEC source: 0000899243-22-003141 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,373,083 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 RSUs. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.02 to $6.08, 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. Read SEC document |
| January 17, 2022 Filed Jan 19, 2022 17:45 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 2,934 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-002456 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,374,425 F1 · shares: The shares are represented by restricted stock units, or RSUs, awarded upon the satisfaction of certain performance metrics as determined by the Compensation Committee. The RSUs were fully vested on the award date. Read SEC document |
| January 04, 2022 Filed Jan 6, 2022 16:10 UTC | ESS Tech, Inc. GWH · Entity 7856 | Tax withholdingCommon Stock | 19,404 | $11.50 | $223,146.00 |
DisclosureSEC source: 0000899243-22-001171 · doc4.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,258,627 F1 · kind: The reported shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. F2 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| January 04, 2022 Filed Jan 6, 2022 16:10 UTC | ESS Tech, Inc. GWH · Entity 7856 | Tax withholdingCommon Stock | 20,193 | $11.50 | $232,219.50 |
DisclosureSEC source: 0000899243-22-001171 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,371,491 F1 · kind: The reported shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units, or RSUs. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 18:10 UTC | ESS Tech, Inc. GWH · Entity 7856 | OtherCommon Stock | 304,194 | $10.00 | $3,041,940.00 |
DisclosureSEC source: 0000899243-21-044443 · doc4.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,221,405 F1 · kind: Pursuant to an "earnout" provision of the Agreement and Plan of Merger, dated as of May 6, 2021 (the "Merger Agreement"), by and among ACON S2 Acquisition Corp, SCharge Merger Sub, Inc., and ESS Tech, Inc. (the "Issuer"), the reporting person is entitled to receive additional shares of Issuer common stock, for no additional consideration, if the volume weighted average price of Issuer common stock over twenty trading days within any thirty trading day period exceeds certain thresholds (the "Earnout Rights"). Of these Earnout Rights, one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $12.50, and one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $15.00. Each of these conditions was met as of November 9, 2021. F2 · kind: Following the closing of the merger, the Issuer determined that aggregate Transaction Expenses (as defined in the Merger Agreement) were lower than had been estimated at the time of closing. Pursuant to the Merger Agreement, this lower amount of Transaction Expenses resulted in an Expense Shortfall (as defined therein), which increased the Adjusted Equity Value (as defined therein). F4 · shares: Effective as of November 9, 2021, the reporting person was entitled to receive 301,769 shares of Issuer common stock pursuant to the Earnout Rights and 2,425 shares of Issuer common stock pursuant to the Expense Shortfall. F5 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 18:10 UTC | ESS Tech, Inc. GWH · Entity 7856 | OtherCommon Stock | 11,670 | $10.00 | $116,700.00 |
DisclosureSEC source: 0000899243-21-044443 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,614,123 F1 · kind: Pursuant to an "earnout" provision of the Agreement and Plan of Merger, dated as of May 6, 2021 (the "Merger Agreement"), by and among ACON S2 Acquisition Corp, SCharge Merger Sub, Inc., and ESS Tech, Inc. (the "Issuer"), the reporting person is entitled to receive additional shares of Issuer common stock, for no additional consideration, if the volume weighted average price of Issuer common stock over twenty trading days within any thirty trading day period exceeds certain thresholds (the "Earnout Rights"). Of these Earnout Rights, one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $12.50, and one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $15.00. Each of these conditions was met as of November 9, 2021. F2 · kind: Following the closing of the merger, the Issuer determined that aggregate Transaction Expenses (as defined in the Merger Agreement) were lower than had been estimated at the time of closing. Pursuant to the Merger Agreement, this lower amount of Transaction Expenses resulted in an Expense Shortfall (as defined therein), which increased the Adjusted Equity Value (as defined therein). F3 · shares: Effective as of November 9, 2021, the reporting person was entitled to receive 11,577 shares of Issuer common stock pursuant to the Earnout Rights and 93 shares of Issuer common stock pursuant to the Expense Shortfall. Read SEC document |
| November 09, 2021 Filed Nov 17, 2021 21:58 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 56,626 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-045199 · doc4.xml · nonDerivative · entry 2 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,278,031 F1 · shares: The shares are represented by restricted stock units, or RSUs, awarded upon the satisfaction of certain performance metrics as determined by the Compensation Committee. The RSUs were fully vested on the award date. F2 · ownership.nature: The shares are held directly by Julia Song. The reporting persons are husband and wife. Read SEC document |
| November 09, 2021 Filed Nov 17, 2021 21:58 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 58,984 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-045199 · doc4.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,391,684 F1 · shares: The shares are represented by restricted stock units, or RSUs, awarded upon the satisfaction of certain performance metrics as determined by the Compensation Committee. The RSUs were fully vested on the award date. Read SEC document |
| November 09, 2021 Filed Nov 17, 2021 17:49 UTC Amendment | ESS Tech, Inc. GWH · Entity 7856 | OtherCommon Stock | 730,247 | $10.00 | $7,302,470.00 |
DisclosureSEC source: 0000899243-21-045096 · doc4a.xml · nonDerivative · entry 1 Evans Craig E · CIK 0001885331 · Director · President Song Julia · CIK 0001884681 · Chief Technology Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,332,700 F1 · kind: Pursuant to an "earnout" provision of the Agreement and Plan of Merger, dated as of May 6, 2021 (the "Merger Agreement"), by and among ACON S2 Acquisition Corp, SCharge Merger Sub, Inc., and ESS Tech, Inc. (the "Issuer"), the reporting person is entitled to receive additional shares of Issuer common stock, for no additional consideration, if the volume weighted average price of Issuer common stock over twenty trading days within any thirty trading day period exceeds certain thresholds (the "Earnout Rights"). Of these Earnout Rights, one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $12.50, and one half will be issued if the volume weighted average price of the Issuer common stock over twenty trading days within any thirty trading day period is greater than or equal to $15.00. Each of these conditions was met as of November 9, 2021. F2 · kind: Following the closing of the merger, the Issuer determined that aggregate Transaction Expenses (as defined in the Merger Agreement) were lower than had been estimated at the time of closing. Pursuant to the Merger Agreement, this lower amount of Transaction Expenses resulted in an Expense Shortfall (as defined therein), which increased the Adjusted Equity Value (as defined therein). F3 · shares: Effective as of November 9, 2021, the reporting person was entitled to receive 724,426 shares of Issuer common stock pursuant to the Earnout Rights and 5,821 shares of Issuer common stock pursuant to the Expense Shortfall. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.