Form 4 for GWH ESS Tech, Inc.
Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-09 · accession 0000899243-21-044443 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2021-11-12 | 2021-11-09 | GWH | Song Julia | CTO | J - Other | $10.00 | +11.7K | 4.61M | +0.3% | +$116.7K | |
| I | 2021-11-12 | 2021-11-09 | GWH | Song Julia | CTO | J - Other | $10.00 | +304.2K | 2.22M | +16% | +$3.04M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-09 | J | A | 11,670 | $10.00 | 4,614,123 | D See footnote | — | — | (F3) 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. (F5) The shares are held directly by Julia Song. The reporting persons are husband and wife. |
| 2 | Common | Common Stock | 2021-11-09 | J | A | 304,194 | $10.00 | 2,221,405 | I | — | — | (F4) 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. |