ESS Tech, Inc.
For the period ended Dec 31, 2025. Filed Mar 5, 2026.
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FY2025 · Filed Mar 5, 2026
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Item 9B. Other Information
Securities Trading Plans of Directors and Executive Officers
During the three months ended December 31, 2025, no director or officer, as defined in Rule 16a-1(f) under the Securities Exchange Act of 1934, adopted orterminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” each as defined in Regulation S-K Item 408.
Promissory Note
On February 27, 2026, the Company drew the second tranche of the Promissory Note with Yorkville for $10 million, less the original issue discount of 8% and certain fees and expenses, and signed an amendment to the Promissory Note formalizing the revised repayment schedule. The second tranche will be payable in 12 periodic payments with a coupon rate of 3% and will now have a final maturity date of February 27, 2027. The remaining terms and provisions of the Promissory Note are unchanged.
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