Filing Details
- Accession Number:
- 0000899243-22-009227
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-03-03 20:24:18
- Reporting Period:
- 2022-03-01
- Accepted Time:
- 2022-03-03 20:24:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1819438 | Ess Tech Inc. | GWH | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1377160 | R Michael Niggli | C/O Ess Tech, Inc. 26440 Sw Parkway Ave., Bldg. 83 Wilsonville OR 97070 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-03-01 | 20,000 | $5.01 | 530,235 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 568,312 | Indirect | See footnote |
| Common Stock | 227,407 | Indirect | See footnote |
| Common Stock | 85,228 | Indirect | See footnote |
| Common Stock | 85,228 | Indirect | See footnote |
| Common Stock | 85,228 | Indirect | See footnote |
| Common Stock | 85,228 | Indirect | See footnote |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.93 to $5.07, 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.
- Reflects an increase of 16 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
- Reflects an increase of 10 shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
- The shares are held of record by the Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee.
- Reflects an increase of seven shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021.
- The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee.
- Reflects an increase of three shares pursuant to an adjustment of earnout shares reported on a Form 4 filed on November 12, 2021
- The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee.
- The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
- The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee.
- The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee.
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