ESS Tech Inc
For the period ended Mar 31, 2024. Filed May 8, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 8, 2024
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit | Description | Form | File No. | Exhibit No. | Filing Date |
| 3.1# | Certification of Incorporation of ESS | 8-K | 001-39525 | 3.1 | October 15, 2021 |
| 3.2# | Amended and Restated Bylaws of ESS | 10-Q | 001-39525 | 3.2 | November 3, 2022 |
| 3.3# | Certificate of Amendment to the Certificate of Incorporation | 8-K | 001-39525 | 3.1 | May 22, 2023 |
| 4.1# | Warrant Agreement, dated September 15, 2020, by and between the Company and Continental Stock | S-4 | 333-257232 | 4.1 | June 21, 2021 |
| 4.2# | Assignment, Assumption and Amendment Agreement to the Warrant Agreement, dated October 8, 2021 | 8-K | 001-39525 | 4.2 | October 15, 2021 |
| 4.3# | Warrant to Purchase Stock, dated September 16, 2022, by and between the Company and Sacramento Municipal Utility District | 10-Q | 001-39525 | 4.3 | November 3, 2022 |
| 4.4# | Investment Warrant, dated September 21, 2023 | 10-Q | 001-39525 | 4.4 | November 14, 2023 |
| 4.5# | IP Warrant, dated September 21, 2023 | 10-Q | 001-39525 | 4.5 | November 14, 2023 |
| 4.6# | Performance Warrant, dated September 21, 2023 | 10-Q | 001-39525 | 4.6 | November 14, 2023 |
| 4.7# | Registration Rights Agreement, dated September 21, 2023, by and between the Company and Honeywell ACS Ventures LLC | 10-Q | 001-39525 | 4.7 | November 14, 2023 |
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1* | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.2* | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | ||||
| 104 | Cover Page Interactive Data File (formatted in Inline XBRL and included in Exhibit 101) | ||||
| # | Previously filed. | ||||
| * | These exhibits are furnished with this Quarterly Report on Form 10-Q and are not deemed filed with the Securities and Exchange Commission and are not incorporated by reference in any filing of ESS Tech, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date hereof and irrespective of any general incorporation language contained in such filings. | ||||
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