OPTT

SEC source: 0001493152-18-015261 · ownership.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,755

F1 · price: Represents 14,924 shares that were purchased in the open market in multiple transactions at prices between $0.509 and $0.540

SEC source: 0001493152-18-013675 · ownership.xml · nonDerivative · entry 1

Glover Dean J · CIK 0001496098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,950

F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.640- $0.674, inclusive. The reporting person undertakes to provide to Ocean Power Technologies, Inc., any of its stockholders or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001493152-18-013593 · ownership.xml · nonDerivative · entry 1

Cryan Terence James · CIK 0001378184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,212

F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.575- $0.595, inclusive. The reporting person undertakes to provide to Ocean Power Technologies, Inc., any of its stockholders or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001493152-18-013556 · ownership.xml · nonDerivative · entry 1

Glover Dean J · CIK 0001496098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,950

F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.5398- $0.5500, inclusive. The reporting person undertakes to provide to Ocean Power Technologies, Inc., any of its stockholders or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001493152-18-013490 · ownership.xml · nonDerivative · entry 1

Shafer Matthew T · CIK 0001684933 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,593

F1 · shares: Represents shares delivered back to the Company for the purpose of satisfying federal and state tax liability related to restricted shares that vested.

SEC source: 0001493152-18-012227 · ownership.xml · nonDerivative · entry 1

FLUDDER STEVEN M · CIK 0001674081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

F1 · price: The price reported is a wieghted average price. The shares were sold in multiple transactions at prices ranging from $0.72- $0.73, inclusive. The reporting person undertakes to provide to Ocean Power Technologies, Inc., any of its stockholders or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001493152-18-003640 · form4.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,831

F1 · price: Represents 7,000 shares that were purchase in the open market in multiple transactions at prices between $1.15 and $1.16

SEC source: 0001493152-18-001307 · form4a.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,831

F1 · shares: Represents shares delivered back to the Company for payment of tax liability related to Restricted Stock which vested.

SEC source: 0001493152-18-000784 · form4.xml · nonDerivative · entry 1

Phebus Christopher · CIK 0001728521 · Vice President - Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,297

F1 · shares: Restricted Stock granted under Ocean Power Technologies, Inc. Employment Inducement Incentive Award Plan as initial equity compensation, equivalent to 40% of base salary, which will vest for 3 years on the following terms: 33.3% vests on 01/18/2019, 33.3% vests on 01/18/2020, 33.4% vests on 01/18/2021.

SEC source: 0001437749-17-017521 · rdgdoc.xml · derivative · entry 1

FLUDDER STEVEN M · CIK 0001674081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,666

Underlying: Common Stock · 42,666 shares

Expires 2027-10-20

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

SEC source: 0001437749-17-017520 · rdgdoc.xml · derivative · entry 1

WINTERS ROBERT K · CIK 0001674046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,666

Underlying: Common Stock · 42,666 shares

Expires 2027-10-20

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

SEC source: 0001437749-17-017519 · rdgdoc.xml · derivative · entry 1

Glover Dean J · CIK 0001496098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,666

Underlying: Common Stock · 42,666 shares

Expires 2027-10-20

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

SEC source: 0001437749-17-017518 · rdgdoc.xml · derivative · entry 1

cryan terence james · CIK 0001378184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,666

Underlying: Common Stock · 42,666 shares

Expires 2027-10-20

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting of Stockholders.

SEC source: 0001437749-17-016081 · rdgdoc.xml · nonDerivative · entry 1

Shafer Matthew T · CIK 0001684933 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,363

F1 · shares: Represents shares delivered back to the Company for the purpose of satisfying federal and state tax liability related to restricted shares that vested.

SEC source: 0001437749-17-009904 · rdgdoc.xml · nonDerivative · entry 1

Shafer Matthew T · CIK 0001684933 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,046

F1 · shares: Represents shares of restricted stock granted under the Company's 2015 Omnibus Incentive Plan, as amended, which will vest 100% 5/19/2019

SEC source: 0001437749-17-009903 · rdgdoc.xml · nonDerivative · entry 1

Mekhiche Mike M · CIK 0001683897 · Executive VP Eng/Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,694

F1 · shares: Represents shares of restricted stock granted under the Company's 2015 Omnibus Incentive Plan, as amended, which will vest 100% on 5/19/2019

SEC source: 0001437749-17-009902 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,079

F1 · shares: Represents shares of restricted stock granted under the Company's 2015 Omnibus Incentive Plan, as amended, which will vest 100% on 5/19/2019

SEC source: 0001437749-17-007844 · rdgdoc.xml · nonDerivative · entry 1

Mekhiche Mike M · CIK 0001683897 · Executive VP Eng/Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,694

F1 · shares: Represents shares delivered back to the Company for the purpose of satisfying federal and state tax liability related to shares that vested.

SEC source: 0001437749-17-007843 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,079

F1 · shares: Represents shares delivered back to the Company for the purpose of satisfying federal and state tax liability related to shares that vested.

SEC source: 0001437749-17-001038 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,728

F1 · shares: Represents shares delivered back to the Company for payment of tax liability related to Restricted Stock which vested.

SEC source: 0001437749-16-040862 · rdgdoc.xml · nonDerivative · entry 1

Mekhiche Mike M · CIK 0001683897 · Exec VP-Engineering/Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,875

F1 · shares: Represents shares delivered back to the Company for payment of tax liability related to shares that vested.

SEC source: 0001437749-16-040863 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,479

F1 · shares: Represents shares delivered back to the Company for payment of tax liability related to shares that vested.

SEC source: 0001437749-16-041235 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,480

F1 · shares: Amended form 4 - Represents shares delivered back to the Company for payment of tax liability related to shares that vested. Total amount of securities beneficially owned following the transaction was previously understated by one share.

SEC source: 0001437749-16-040211 · rdgdoc.xml · nonDerivative · entry 1

Kirby George H III · CIK 0001630144 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,550

F1 · shares: Represents total shares that were purchase in the open market in a multiple transactions at the price of $3.16

SEC source: 0001437749-16-040215 · rdgdoc.xml · nonDerivative · entry 1

Mekhiche Mike M · CIK 0001683897 · Exec VP-Engineering/Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,414

F1 · shares: Represents shares delivered back to the Company for payment of tax liability related to shares that vested.

SEC source: 0001437749-16-041234 · rdgdoc.xml · nonDerivative · entry 1

Mekhiche Mike M · CIK 0001683897 · Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,827

F1 · balance_after: Amended form 4 to correct the number of shares beneficially owned following the transactions was previously overstated.

SEC source: 0001437749-16-040209 · rdgdoc.xml · nonDerivative · entry 1

Shafer Matthew T · CIK 0001684933 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,462

F1 · shares: Granted under the Company's 2015 Omnibus Incentive Plan as annual compensation, which will vest for 3 years on the following terms: 33.3% vests on 09/17/2017, 33.3% vests on 09/17/2018, 33.3% vests on 09/17/2019.

SEC source: 0001437749-16-040208 · rdgdoc.xml · derivative · entry 1

WINTERS ROBERT K · CIK 0001674046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,775

Underlying: Common Stock · 19,775 shares

Expires 2026-10-21

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

SEC source: 0001437749-16-040212 · rdgdoc.xml · derivative · entry 1

FLUDDER STEVEN M · CIK 0001674081 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,775

Underlying: Common Stock · 19,775 shares

Expires 2026-10-21

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

SEC source: 0001437749-16-040214 · rdgdoc.xml · derivative · entry 1

Burger Robert J. · CIK 0001642696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,775

Underlying: Common Stock · 19,775 shares

Expires 2026-10-21

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

SEC source: 0001437749-16-040210 · rdgdoc.xml · derivative · entry 1

Glover Dean J · CIK 0001496098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,775

Underlying: Common Stock · 19,775 shares

Expires 2026-10-21

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

SEC source: 0001437749-16-040213 · rdgdoc.xml · derivative · entry 1

cryan terence james · CIK 0001378184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,775

Underlying: Common Stock · 19,775 shares

Expires 2026-10-21

F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan as annual compensation to the non-employee members of the Board of Directors, which vest on the date of the next annual meeting.

SEC source: 0001437749-16-038764 · rdgdoc.xml · nonDerivative · entry 1

FEATHERSTONE MARK A · CIK 0001238127 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,465