Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ESS Tech, Inc.GWH · Entity 7856 | Chief Financial Officer | October 19, 2022 | October 20, 2022 |
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 October 19, 2022 · Filed October 20, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 558,850 |
Ending reported balance
After 2022-10-19 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-10-19 · Sale · Disposed 4,193 · Balance 563,043 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.39 to $3.60, 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. Row 2 · 2022-10-19 · Sale · Disposed 4,193 · Balance 558,850 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.39 to $3.60, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.39 to $3.60, 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.
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 |
|---|---|---|---|---|---|---|
| October 19, 2022 Filed Oct 20, 2022 20:30 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 4,193 | $3.48 | $14,599.61 |
DisclosureSEC source: 0001628280-22-026773 · wf-form4_166631222440268.xml · nonDerivative · entry 2 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 558,850 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.39 to $3.60, 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 |
| October 19, 2022 Filed Oct 20, 2022 20:30 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 4,193 | $3.48 | $14,599.61 |
DisclosureSEC source: 0001628280-22-026773 · wf-form4_166631222440268.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,043 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.39 to $3.60, 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 |
| October 17, 2022 Filed Oct 18, 2022 15:56 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 63,205 | $4.03 | $254,412.77 |
DisclosureSEC source: 0001628280-22-026547 · wf-form4_166612296659047.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 583,956 Read SEC document |
| October 17, 2022 Filed Oct 19, 2022 21:35 UTC | ESS Tech, Inc. GWH · Entity 7856 | SaleCommon Stock | 16,720 | $3.72 | $62,198.40 |
DisclosureSEC source: 0001628280-22-026695 · wf-form4_166622972723633.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567,236 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 |
| February 08, 2022 Filed Feb 9, 2022 18:58 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 268,358 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-005508 · doc4.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 647,161 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 __ shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021. Read SEC document |
| January 04, 2022 Filed Jan 6, 2022 16:15 UTC | ESS Tech, Inc. GWH · Entity 7856 | Tax withholdingCommon Stock | 37,821 | $11.50 | $434,941.50 |
DisclosureSEC source: 0000899243-22-001172 · doc4.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,793 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 15, 2021 Filed Nov 17, 2021 21:59 UTC | ESS Tech, Inc. GWH · Entity 7856 | GrantCommon Stock | 101,026 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-045200 · doc4.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,614 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 12, 2021 18:13 UTC | ESS Tech, Inc. GWH · Entity 7856 | OtherCommon Stock | 43,216 | $10.00 | $432,160.00 |
DisclosureSEC source: 0000899243-21-044446 · doc4.xml · nonDerivative · entry 1 Moftakhar Amir · CIK 0001884662 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 315,588 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). Effective as of November 9, 2021, the reporting person was entitled to receive 42,871 shares of Issuer common stock pursuant to the Earnout Rights and 345 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.