NIGGLI MICHAEL R 4

4 · ESS Tech, Inc. · Filed Sep 3, 2024

Form 4

Period: 2024-08-29

Director

Transactions

Exercise/Conversion
Common Stock
2024-08-29$6.88/sh+11,852$81,542→ 77,312 total
Exercise/Conversion
Stock Option (right to buy)
2024-08-29−11,852→ 0 total
Exercise: $6.88Exp: 2028-10-18→ Common Stock (11,852 underlying)

Holdings

Footnotes (11)

[F1]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.
[F10]The shares are held of record by the Laura C Sturr Gift Trust for which the spouse of the reporting person serves as trustee.
[F11]The shares subject to the option vest in 48 equal monthly installments beginning on August 20, 2018.
[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 Ian M. Niggli 2021 Gift Trust for which the reporting person 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 Linda Naviaux Niggli Trust for which the reporting person's spouse serves as trustee.
[F8]The shares are held of record by the John Naviaux Gift Trust for which the spouse of the reporting person serves as trustee.
[F9]The shares are held of record by the James Naviaux Gift Trust for which the spouse of the reporting person serves as trustee.

Documents

1 file