0001104659-21-127288.txt : 20211018 0001104659-21-127288.hdr.sgml : 20211018 20211018185057 ACCESSION NUMBER: 0001104659-21-127288 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211008 FILED AS OF DATE: 20211018 DATE AS OF CHANGE: 20211018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Breakthrough Energy Ventures, LLC CENTRAL INDEX KEY: 0001691687 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39525 FILM NUMBER: 211329231 BUSINESS ADDRESS: STREET 1: 4110 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 425-497-4303 MAIL ADDRESS: STREET 1: 4110 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BREAKTHROUGH ENERGY INVESTMENTS LLC CENTRAL INDEX KEY: 0001888406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39525 FILM NUMBER: 211329230 BUSINESS ADDRESS: STREET 1: 250 SUMMER STREET, 4TH FLOOR CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 857-327-8780 MAIL ADDRESS: STREET 1: 250 SUMMER STREET, 4TH FLOOR CITY: BOSTON STATE: MA ZIP: 02210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ESS Tech, Inc. CENTRAL INDEX KEY: 0001819438 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26440 SW PARKWAY AVE. STREET 2: BLDG. 83 CITY: WILSONVILLE STATE: OR ZIP: 97070 BUSINESS PHONE: (855) 423-9920 MAIL ADDRESS: STREET 1: 26440 SW PARKWAY AVE. STREET 2: BLDG. 83 CITY: WILSONVILLE STATE: OR ZIP: 97070 FORMER COMPANY: FORMER CONFORMED NAME: ACON S2 Acquisition Corp. DATE OF NAME CHANGE: 20200728 3 1 tm2130211-3_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2021-10-08 0 0001819438 ESS Tech, Inc. GWH 0001691687 Breakthrough Energy Ventures, LLC C/O BREAKTHROUGH ENERGY INVESTMENTS LLC 250 SUMMER STREET, 4TH FLOOR BOSTON MA 02210 0 0 1 0 0001888406 BREAKTHROUGH ENERGY INVESTMENTS LLC 250 SUMMER STREET, 4TH FLOOR BOSTON MA 02210 0 0 1 0 Common Stock, $0.0001 par value per share 16037874 D The shares of Common Stock, par value $0.0001 per share, of ESS Tech, Inc. are held directly by Breakthrough Energy Ventures, LLC. Breakthrough Energy Investments, LLC serves as manager of Breakthrough Energy Ventures, LLC. By reason of such relationship, Breakthrough Energy Investments, LLC may be deemed to share voting and dispositive power over the Common Stock listed as beneficially owned by Breakthrough Energy Ventures, LLC. Breakthrough Energy Investments, LLC disclaims beneficial ownership of all such shares, except to the extent of its pecuniary interest. BREAKTHROUGH ENERGY VENTURES, LLC By: BREAKTHROUGH ENERGY INVESTMENTS, LLC, its manager By: /s/ Christian Garcia Name: Christian Garcia Title: Authorized Signatory 2021-10-18 BREAKTHROUGH ENERGY INVESTMENTS, LLC By: /s/ Christian Garcia Name: Christian Garcia Title: Authorized Signatory 2021-10-18