---
schema_version: "secwatch.filing_event.v1"
accession: "0001628280-26-004263"
form_type: "8-K"
ticker: "GWH"
cik: "0001819438"
company_name: "ESS Tech, Inc."
filed_at: "2026-01-30T23:59:59+00:00"
generated_at: "2026-05-16T06:03:57.788737+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.7
calibrated_materiality_score: 0.7
confidence: "high"
source: SEC EDGAR
---

# ESS Tech raises approximately $15 million in registered direct offering of common stock and pre-funded warrants

## Summary
- On January 29, 2026, ESS Tech entered into a securities purchase agreement to sell 3,471,428 shares and 5,100,000 pre-funded warrants at $1.75 per share or $1.74999 per warrant.
- The registered direct offering is expected to close on January 30, 2026, with net proceeds of approximately $13.5 million after fees and expenses.
- Proceeds from the offering will be used for general corporate purposes and working capital.
- Aegis Capital Corp. served as exclusive placement agent, receiving a cash fee of up to 6.0% of gross proceeds and expense reimbursement up to $80,000.

## SEC filing metadata
- accession: 0001628280-26-004263
- form_type: 8-K
- ticker: GWH
- cik: 0001819438
- company_name: ESS Tech, Inc.
- filed_at: 2026-01-30T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.7
- calibrated_materiality_score: 0.7
- confidence: high
- sec_items: 1.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1819438/000162828026004263/0001628280-26-004263-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1819438/000162828026004263/gwh-20260129.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001628280-26-004263
- JSON: https://secwatch.observer/filing/0001628280-26-004263.json
- Plain text: https://secwatch.observer/filing/0001628280-26-004263.txt

## Key facts
- Material Agreements
  ESS Tech, Inc. entered into Purchase Agreement with certain institutional investors valued at approximately $13.5 million (effective 2026-01-29).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: certain institutional investors
  - Value: approximately $13.5 million
  - Effective: 2026-01-29
  source text: On January 29, 2026, ESS Tech, Inc. (the “Company”) signed a securities purchase agreement (the “Purchase Agreement”) with certain institutional investors identified on the signature pages thereto (the “Purchasers”) pursuant to which the Company agreed to issue and sell in a registered direct offering registered under the Securities Act of 1933, as amended (the “Securities Act”), an aggregate of 3,471,428 shares (the “Shares”) of the Company’s common stock (“Common Stock”), Pre-Funded Warrants to purchase an aggregate of 5,100,000 shares of Common Stock at an exercise price of $0.00001 per share (the “Pre-Funded Warrants”), and the 5,100,000 shares of Common Stock underlying the Pre-Funded Warrants (“Pre-Funded Warrant Shares”) at an offering price of $1.75 per Share or $1.74999 per Pre-Funded Warrant, as applicable (the “Registered Direct Offering”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/1819438/000162828026004263/0001628280-26-004263-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.