Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Lexington CorpCDIX · Entity 8421 | Chief Financial Officer | January 13, 2026 | January 16, 2026 |
| Ocean Power Technologies, Inc.OPTT · Entity 7249 | CFO and Treasurer | January 14, 2021 | January 19, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cardiff Lexington Corp
Report date January 13, 2026 · Filed January 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 74,168 |
Reported balance
After 2026-01-13 transaction · row 1
1 source rowRow 1 · 2026-01-13 · Grant · Acquired 62,500 · Balance 74,168 F1: On January 13, 2026, the Reporting Person was granted a restricted stock award for 62,500 shares of Common Stock under the Issuer's 2024 Equity Incentive Plan, of which 31,250 shares vested on the date of grant and 15,625 shares shall vest on each of January 2, 2027 and January 2, 2028, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: On January 13, 2026, the Reporting Person was granted a restricted stock award for 62,500 shares of Common Stock under the Issuer's 2024 Equity Incentive Plan, of which 31,250 shares vested on the date of grant and 15,625 shares shall vest on each of January 2, 2027 and January 2, 2028, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan).
Ocean Power Technologies, Inc.
Report date January 14, 2021 · Filed January 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.93 · Expires 2031-01-14 | Direct | 31,667 |
Reported balance
After 2021-01-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-01-14 · Grant · Acquired 31,667 · Balance 31,667 F1: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.93 · Expires 2031-01-14 | Direct | 63,333 |
Reported balance
After 2021-01-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-01-14 · Grant · Acquired 63,333 · Balance 63,333 F2: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the closing share price on January 14, 2021 as compared to the closing share prices on January 14, 2022 and January 14, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service.
F2: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the closing share price on January 14, 2021 as compared to the closing share prices on January 14, 2022 and January 14, 2023.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 13, 2026 Filed Jan 16, 2026 14:07 UTC | Cardiff Lexington Corp CDIX · Entity 8421 | GrantCommon Stock | 62,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-26-000354 · ownership.xml · nonDerivative · entry 1 Shafer Matthew T · CIK 0001684933 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,168 F1 · kind: On January 13, 2026, the Reporting Person was granted a restricted stock award for 62,500 shares of Common Stock under the Issuer's 2024 Equity Incentive Plan, of which 31,250 shares vested on the date of grant and 15,625 shares shall vest on each of January 2, 2027 and January 2, 2028, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan). Read SEC document |
| December 11, 2025 Filed Dec 15, 2025 23:23 UTC | Cardiff Lexington Corp CDIX · Entity 8421 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-25-009169 · ownership.xml · nonDerivative · entry 2 Shafer Matthew T · CIK 0001684933 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,000 F2 · kind: On December 11, 2025, the Reporting Person was granted a restricted stock award for 25,000 shares of Common Stock under the Issuer's 2024 Equity Incentive Plan, which shares shall vest in full on December 11, 2026, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan). Read SEC document |
| November 19, 2025 Filed Dec 15, 2025 23:23 UTC | Cardiff Lexington Corp CDIX · Entity 8421 | ConversionSeries I Preferred Stock · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-25-009169 · ownership.xml · derivative · entry 3 Shafer Matthew T · CIK 0001684933 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. F1 · kind: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. F1 · derivative.expiration_date: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. Read SEC document |
| November 19, 2025 Filed Dec 15, 2025 23:23 UTC | Cardiff Lexington Corp CDIX · Entity 8421 | ConversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-25-009169 · ownership.xml · nonDerivative · entry 1 Shafer Matthew T · CIK 0001684933 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. Read SEC document |
| January 31, 2024 Filed Mar 6, 2024 18:46 UTC | Cardiff Lexington Corp CDIX · Entity 8421 | OtherSeries I Preferred Stock · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-24-001345 · ownership.xml · derivative · entry 1 Shafer Matthew T · CIK 0001684933 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into such number of shares of Common Stock as is determined as follows: (i) if the closing market price of the Common Stock on the principal trading market on which the Common Stock is then traded or quoted is less than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into a number of shares of Common Stock equal to two (2) times the stated value ($4.00 per share), divided by such closing market price on the date of conversion; or (ii) if such closing market price is equal to or greater than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. F1 · kind: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into such number of shares of Common Stock as is determined as follows: (i) if the closing market price of the Common Stock on the principal trading market on which the Common Stock is then traded or quoted is less than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into a number of shares of Common Stock equal to two (2) times the stated value ($4.00 per share), divided by such closing market price on the date of conversion; or (ii) if such closing market price is equal to or greater than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. F1 · derivative.expiration_date: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into such number of shares of Common Stock as is determined as follows: (i) if the closing market price of the Common Stock on the principal trading market on which the Common Stock is then traded or quoted is less than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into a number of shares of Common Stock equal to two (2) times the stated value ($4.00 per share), divided by such closing market price on the date of conversion; or (ii) if such closing market price is equal to or greater than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 31, 2024, the Reporting Person received 5,000 shares of Series I Preferred Stock as partial compensation for the Reporting Person's services as Chief Financial Officer of the Issuer. Each share of Series I Preferred Stock is convertible into such number of shares of Common Stock as is determined as follows: (i) if the closing market price of the Common Stock on the principal trading market on which the Common Stock is then traded or quoted is less than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into a number of shares of Common Stock equal to two (2) times the stated value ($4.00 per share), divided by such closing market price on the date of conversion; or (ii) if such closing market price is equal to or greater than $4.00 per share, then each share of Series I Preferred Stock shall be convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. Read SEC document |
| January 14, 2021 Filed Jan 19, 2021 16:05 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantStock Option (right to buy) · Derivative | 63,333 | $0.00 Strike: $2.93 | $0.00 |
DisclosureSEC source: 0001493152-21-001310 · ownership.xml · derivative · entry 2 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,333 Underlying: Common Stock · 63,333 shares Expires 2031-01-14 F2 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the closing share price on January 14, 2021 as compared to the closing share prices on January 14, 2022 and January 14, 2023. F2 · derivative.exercise_date: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the closing share price on January 14, 2021 as compared to the closing share prices on January 14, 2022 and January 14, 2023. F2 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the closing share price on January 14, 2021 as compared to the closing share prices on January 14, 2022 and January 14, 2023. Read SEC document |
| January 14, 2021 Filed Jan 19, 2021 16:05 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantStock Option (right to buy) · Derivative | 31,667 | $0.00 Strike: $2.93 | $0.00 |
DisclosureSEC source: 0001493152-21-001310 · ownership.xml · derivative · entry 1 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,667 Underlying: Common Stock · 31,667 shares Expires 2031-01-14 F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. F1 · derivative.exercise_date: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 16:00 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantStock Option (right to buy) · Derivative | 26,667 | $0.00 Strike: $1.05 | $0.00 |
DisclosureSEC source: 0001493152-20-000862 · ownership.xml · derivative · entry 2 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,667 Underlying: Common Stock · 26,667 shares Expires 2030-01-16 F2 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the 5 day share price VWAP as compared to the share price on January 16, 2020 and the 5 day share price VWAP as compared to the share price on January 16, 2021. F2 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on performance of a positive total shareholder return as measured by the 5 day share price VWAP as compared to the share price on January 16, 2020 and the 5 day share price VWAP as compared to the share price on January 16, 2021. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 16:00 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantStock Option (right to buy) · Derivative | 13,333 | $0.00 Strike: $1.05 | $0.00 |
DisclosureSEC source: 0001493152-20-000862 · ownership.xml · derivative · entry 1 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,333 Underlying: Common Stock · 13,333 shares Expires 2030-01-16 F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in two equal installments over two years beginning one year after the date of the grant, based on service. Read SEC document |
| May 20, 2019 Filed May 21, 2019 16:30 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | Tax withholdingCommon Stock | 208 | $2.33 | $484.64 |
DisclosureSEC source: 0001493152-19-008008 · ownership.xml · nonDerivative · entry 1 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,122 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. F2 · shares: Shares reported have been adjusted for a 1 for 20 reverse stock split effected on March 11, 2019. F2 · balance_after: Shares reported have been adjusted for a 1 for 20 reverse stock split effected on March 11, 2019. Read SEC document |
| December 07, 2018 Filed Dec 11, 2018 16:01 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantStock Option (right to buy) · Derivative | 115,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001493152-18-017313 · ownership.xml · derivative · entry 1 Shafer Matthew T · CIK 0001684933 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2028-12-07 F1 · shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in full one year from award date. F1 · derivative.underlying_shares: Represents stock option granted under the Company's 2015 Omnibus Incentive Plan, as amended, which vest in full one year from award date. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 17:15 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | Tax withholdingCommon Stock | 1,770 | $0.46 | $814.20 |
DisclosureSEC 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. Read SEC document |
| September 17, 2017 Filed Sep 19, 2017 17:07 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | Tax withholdingCommon Stock | 1,683 | $1.30 | $2,187.90 |
DisclosureSEC 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. Read SEC document |
| May 19, 2017 Filed May 23, 2017 16:03 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantCommon Stock | 14,584 | $1.40 | $20,417.60 |
DisclosureSEC 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 Read SEC document |
| October 21, 2016 Filed Oct 25, 2016 17:47 UTC | Ocean Power Technologies, Inc. OPTT · Entity 7249 | GrantCommon Stock | 15,462 | $3.22 | $49,787.64 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.