ESS Tech, Inc.
For the period ended Mar 31, 2026. Filed May 7, 2026.
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, 2026 · Filed May 7, 2026
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Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit · Description · Form · File No. · Exhibit No. · Filing Date · Filed Herewith | |||||
| 3.1 | Certificate of Incorporation of ESS | 8-K | 001-39525 | 3.1 | October 15, 2021 |
| 3.2 | Certificate of Amendment to the Certificate of Incorporation | 8-K | 001-39525 | 3.1 | May 22, 2023 |
| 3.3 | Certificate of Amendment to the Certificate of Incorporation | 8-K | 001-39525 | 3.1 | August 23, 2024 |
| 3.4 | Amended and Restated Bylaws of ESS | 10-Q | 001-39525 | 3.2 | November 3, 2022 |
| 4.1 | Warrant Agreement, dated September 16, 2020, by and between ACON S2 Acquisition Corp. and Continental Stock Transfer & Trust Company | 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 |
| 4.8 | Form of Warrant to Purchase Common Stock dated July 10, 2025 | 10-Q | 001-39525 | 4.8 | August 14, 2025 |
| 4.9 | Warrant to Purchase Common Stock, dated October 14, 2025 | 8-K | 001-39525 | 4.1 | October 14, 2025 |
| 4.10 | Form of Pre-Funded Warrant, dated January 30, 2026 | 8-K | 001-39525 | 4.1 | January 30, 2026 |
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| 10.1 | Amendment No. 3 to Promissory Note, dated February 27, 2026 | 10-K | ` | 001-39525 | 10.24 | March 5, 2026 | |
| 10.2 | Form of Securities Purchase Agreement, dated January 29, 2026, between ESS Tech, Inc., and certain investors thereto | 8-K | 001-39525 | 10.1 | January 30, 2026 | ||
| 31.1* | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 31.2* | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 32.1* | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 32.2* | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||||
| 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 | X | |||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | |||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | |||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X | |||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | |||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101) | X | |||||
| † | Indicates management contract or compensatory plan or arrangement. | ||||||
| # | Portions of this exhibit have been omitted in accordance with Item 601 of Regulation S-K. | ||||||
| * | 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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