Form 4 for GWH ESS Tech, Inc.
Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-09 · accession 0000899243-21-044447 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2021-11-12 | 2021-11-09 | GWH | NIGGLI MICHAEL R | Dir | J - Other | $10.00 | +77.8K | 85.2K | +1,051% | +$778.2K |
| 2021-11-12 | 2021-11-09 | GWH | NIGGLI MICHAEL R | Dir | J - Other | $10.00 | +65.8K | 480.2K | +16% | +$657.5K |
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 | 85,225 | I See footnote | — | — | (F6) 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. (F9) The shares are held of record by the Lorelei A. Niggli 2021 Gift Trust for which the reporting person serves as trustee. |
| 2 | Common | Common Stock | 2021-11-09 | J | A | 11,670 | $10.00 | 85,225 | I See footnote | — | — | (F6) 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. (F8) The shares are held of record by the Ian M. Niggli 2021 Gift Trust for which the reporting person serves as trustee. |
| 3 | Common | Common Stock | 2021-11-09 | J | A | 31,140 | $10.00 | 227,400 | I See footnote | — | — | (F4) Effective as of November 9, 2021, the reporting person was entitled to receive 30,891 shares of Issuer common stock pursuant to the Earnout Rights and 249 shares of Issuer common stock pursuant to the Expense Shortfall. (F7) The shares are held of record by the Chloe D. Niggli Gift Trust for which the reporting person serves as trustee. |
| 4 | Common | Common Stock | 2021-11-09 | J | A | 65,752 | $10.00 | 480,166 | D See footnote | — | — | (F3) Effective as of November 9, 2021, the reporting person was entitled to receive 65,228 shares of Issuer common stock pursuant to the Earnout Rights and 524 shares of Issuer common stock pursuant to the Expense Shortfall. (F5) The shares are held of record by the Michael R. Niggli Family Trust for which the reporting person serves as trustee. |
| 5 | Common | Common Stock | 2021-11-09 | J | A | 11,670 | $10.00 | 85,225 | I See footnote | — | — | (F6) 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. (F10) The shares are held of record by the Michael R. Niggli Jr. 2021 Gift Trust for which the reporting person serves as trustee. |
| 6 | Common | Common Stock | 2021-11-09 | J | A | 11,670 | $10.00 | 85,225 | I | — | — | (F6) 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. |