Form 4 for OPTT Ocean Power Technologies, Inc.
Accepted 2026-01-21 00:00:00 ET · period of report 2026-01-16 · accession 0001493152-26-003080 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-01-21 | 2026-01-16 | OPTT | Stratmann Philipp | Pres, CEO, Dir | A - Grant | — | +1.35M | 1.39M | +2,994% | — |
| D | 2026-01-21 | 2026-01-16 | OPTT | Stratmann Philipp | Pres, CEO, Dir | D - Sale to Iss | $0.00 | -527.8K | 1.43M | -27% | $0 |
| D | 2026-01-21 | 2026-01-16 | OPTT | Stratmann Philipp | Pres, CEO, Dir | M - OptEx | $0.00 | +569.0K | 569.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-01-16 | A | A | 569,045 | — | 1,962,441 | D | — | — | (F3) On January 16, 2025, the reporting person was granted 569,045 restricted stock units, vesting based on achievement of certain performance criteria. Vesting of such criteria was deemed to occur on January 16, 2026. (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's restricted stock. |
| 2 | Common | Common Stock | 2026-01-16 | D | D | 527,846 | $0.00 | 1,434,595 | D | — | — | |
| 3 | Common | Common Stock | 2026-01-16 | A | A | 617,508 | — | 1,393,396 | D | — | — | (F2) Shares acquired upon the time-based vesting of restricted stock units granted in January 2023 and 2025. (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's restricted stock. |
| 4 | Common | Common Stock | 2026-01-16 | A | A | 161,801 | — | 1,393,396 | D | — | — | (F1) Represents shares underlying restricted stock units subject to time-based vesting in 2026 and 2027. (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's restricted stock. |
| 5 | Derivative | Restricted Stock Unit | 2026-01-16 | M | A | 569,045 | $0.00 | 569,045 | D | — · — to — | 569,045 Common Stock | (F4) Each restricted stock unit represents a contingent right to receive one share of the Issuer's restricted stock. (F3) On January 16, 2025, the reporting person was granted 569,045 restricted stock units, vesting based on achievement of certain performance criteria. Vesting of such criteria was deemed to occur on January 16, 2026. |