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OPTT · Ocean Power Technologies, Inc. · Holdings

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$0.11 -0.05 (-33.44%) At close · Sep 11
Rebalance outlook locked
Going-concern doubt — flagged Aug 19, 2026

Substantial doubt about the company's ability to continue as a going concern.

“Management believes the Company's current cash and cash equivalents may not be sufficient to fund its planned expenditures through twelve months from the filing date of the Form 10-K. These conditions raise substantial doubt about the Company's ability to continue as a going concern.”
View the 10-K filed Aug 19, 2026
Market Cap
$43.22M
Shares
270.14M

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →
Holders: 83
Total Value: $9,159,383
Total Shares: 35,228,486

Institutional Ownership Trend

26 quarters

Holder Concentration

Across 83 13F filers · Δ vs Mar 31, 2026
Top Holder
25.3%
Sep 2023 → Jun 2026 · range 25.3% – 50.7%
−7.0 pts
Top 5
69.1%
Sep 2023 → Jun 2026 · range 69.1% – 89.7%
−3.2 pts
Top 10
83.8%
Sep 2023 → Jun 2026 · range 83.8% – 96.7%
−3.7 pts
HHI
1,283
Sep 2023 → Jun 2026 · range 1,283 – 3,077
Broadly held−290

Quarterly Activity

vs Mar 31, 2026
New
23
Increased
18
Decreased
14
Sold Out
10
Unchanged
28
Holder count: +13
Institutional value: -1.3%
Shares held: +32.8%

Top Buyers

vs Mar 31, 2026
Institution Added Now Holds Open
UBS Group AG +2,887,946 6,869,388
Cambridge Investment Research Advisors, Inc. +400,003 697,003
VANGUARD FIDUCIARY TRUST CO +353,192 1,387,399
VANGUARD CAPITAL MANAGEMENT LLC +340,643 8,919,165
STATE STREET CORP +172,400 982,684

Top Sellers

vs Mar 31, 2026
Institution Sold Now Holds Open
D'Orazio & Associates, Inc. −207,174 197,503
ROYAL BANK OF CANADA −187,500 518,050
SUSQUEHANNA INTERNATIONAL GROUP, LLP −92,548 1,048,767
GROUP ONE TRADING LLC −40,844 99,787
OneDigital Investment Advisors LLC −22,737 159,532

Top New Positions

vs Mar 31, 2026
Institution Acquired Value (USD) Open
Polar Asset Management Partners Inc. 3,043,227 $791,239
HAMILTON CAPITAL PARTNERS, LLC 500,195 $130,050
Caption Management, LLC 475,000 $123,500
HighTower Advisors, LLC 350,100 $91,026
Diversify Advisory Services, LLC 119,995 $31,198

Top Sold-Out Positions

vs Mar 31, 2026
Institution Previously Held Last Value (USD) Open
MONETA GROUP INVESTMENT ADVISORS LLC 157,557 $55,144
Private Advisor Group, LLC 100,000 $35,000
CHARLES SCHWAB INVESTMENT MANAGEMENT INC 50,000 $17,500
Sargent Investment Group, LLC 45,000 $15,750
NewEdge Advisors, LLC 10,000 $3,500
Filter: New 23 Increased 18 Reduced 14 Sold out 10 Unchanged 28
Showing 89 of 89
All Common Calls Puts
Export CSV
Holder Value (USD) % of 13F Shares Open
VANGUARD CAPITAL MANAGEMENT LLC $2,318,982 25.32% 8,919,165
UBS Group AG $1,786,040 19.50% 6,869,388
BlackRock, Inc. $865,568 9.45% 3,329,108
Polar Asset Management Partners Inc. $791,239 8.64% 3,043,227
GEODE CAPITAL MANAGEMENT, LLC $571,605 6.24% 2,198,484
VANGUARD FIDUCIARY TRUST CO $360,723 3.94% 1,387,399
Spinnaker Investment Group, LLC $270,722 2.96% 1,041,240
STATE STREET CORP $255,497 2.79% 982,684
Cambridge Investment Research Advisors, Inc. $181,220 1.98% 697,003
NORTHERN TRUST CORP $134,979 1.47% 519,151
ROYAL BANK OF CANADA $134,693 1.47% 518,050
HAMILTON CAPITAL PARTNERS, LLC $130,050 1.42% 500,195
SUSQUEHANNA INTERNATIONAL GROUP, LLP $129,688 1.42% 498,800
Caption Management, LLC $123,500 1.35% 475,000
HighTower Advisors, LLC $91,026 0.99% 350,100
PEAK6 LLC $87,490 0.96% 336,500
CITADEL ADVISORS LLC $85,358 0.93% 328,300
SUSQUEHANNA INTERNATIONAL GROUP, LLP $76,258 0.83% 293,300
SUSQUEHANNA INTERNATIONAL GROUP, LLP $66,733 0.73% 256,667
ESSEX INVESTMENT MANAGEMENT CO LLC $53,264 0.58% 204,864
D'Orazio & Associates, Inc. $51,350 0.56% 197,503
OneDigital Investment Advisors LLC $41,478 0.45% 159,532
Pinnacle Financial Partners, Inc. $33,930 0.37% 130,500
SIMPLEX TRADING, LLC $33,744 0.37% 129,786
Diversify Advisory Services, LLC $31,198 0.34% 119,995
DIVERSIFY WEALTH MANAGEMENT, LLC $31,198 0.34% 119,995
JANE STREET GROUP, LLC $28,366 0.31% 109,100
IMC-Chicago, LLC $26,842 0.29% 103,241
GROUP ONE TRADING LLC $25,944 0.28% 99,787
Focus Partners Wealth $21,203 0.23% 81,550
OSAIC HOLDINGS, INC. $18,252 0.20% 70,203
Advisory Services Network, LLC $17,680 0.19% 68,000
PEAK6 LLC $16,479 0.18% 63,381
JANE STREET GROUP, LLC $15,738 0.17% 60,531
Morton Brown Family Wealth, LLC $15,154 0.17% 58,285
SBI Securities Co., Ltd. $14,091 0.15% 54,199
Sequoia Financial Advisors, LLC $13,000 0.14% 50,000
Legato Capital Management LLC $12,546 0.14% 48,257
JANE STREET GROUP, LLC $11,778 0.13% 45,300
J.W. COLE ADVISORS, INC. $11,371 0.12% 43,735
XTX Topco Ltd $10,334 0.11% 39,747
Kelsey Financial, LLC $9,620 0.11% 37,000
CITADEL ADVISORS LLC $9,594 0.10% 36,900
Vanguard Global Advisers, LLC $9,507 0.10% 36,567
ENVESTNET ASSET MANAGEMENT INC $7,814 0.09% 30,057
Rockefeller Capital Management L.P. $7,800 0.09% 30,000
GTS SECURITIES LLC $6,500 0.07% 25,000
TWO SIGMA SECURITIES, LLC $6,460 0.07% 24,847
VOISARD ASSET MANAGEMENT GROUP, INC. $5,460 0.06% 21,000
Caprock Group, LLC $5,460 0.06% 21,000
VestGen Advisors, LLC $5,312 0.06% 20,431
Western Wealth Management, LLC $5,200 0.06% 20,000
OpenArc Corporate Advisory, LLC $5,200 0.06% 20,000
CAPTRUST FINANCIAL ADVISORS $4,930 0.05% 18,964
LPL Financial LLC $4,783 0.05% 18,399
WELLS FARGO & COMPANY/MN $4,735 0.05% 18,216
BANK OF MONTREAL /CAN/ $4,680 0.05% 18,000
Vanguard Personalized Indexing Management, LLC $4,535 0.05% 17,444
Tower Research Capital LLC (TRC) $4,534 0.05% 17,441
JPMORGAN CHASE & CO $4,483 0.05% 17,245
Sovereign Financial Group, Inc. $4,420 0.05% 17,000
Virtu Financial LLC $3,844 0.04% 14,785
Steward Partners Investment Advisory, LLC $3,760 0.04% 14,463
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC $3,752 0.04% 14,431
Hilltop Partners LLC $3,380 0.04% 13,000
Richmond Brothers, Inc. $3,079 0.03% 11,846
Bank of New York Mellon Corp $2,916 0.03% 11,218
GREAT VALLEY ADVISOR GROUP, INC. $2,626 0.03% 10,100
PROMETHIUM ADVISORS,LLC $2,600 0.03% 10,000
MN Wealth Advisors, LLC $2,600 0.03% 10,000
DROMS STRAUSS ADVISORS INC /MO/ /ADV $2,600 0.03% 10,000
IFP Advisors, Inc $2,600 0.03% 10,000
BARCLAYS PLC $2,567 0.03% 9,874
MORGAN STANLEY $1,586 0.02% 6,100
Federation des caisses Desjardins du Quebec $1,534 0.02% 5,900
Larson Financial Group LLC $1,199 0.01% 4,612
Grove Bank & Trust $780 0.01% 3,000
Allworth Financial LP $152 0.00% 586
Cape Investment Advisory, Inc. $130 0.00% 500
Clearstead Advisors, LLC $81 0.00% 312
HARBOUR INVESTMENTS, INC. $78 0.00% 300
Leo H. Evart, Inc. $70 0.00% 270
CoreCap Advisors, LLC $65 0.00% 250
JONES FINANCIAL COMPANIES LLLP $26 0.00% 100
TD Waterhouse Canada Inc. $11 0.00% 43
Continuum Advisory, LLC $5 0.00% 20
Key Capital Management, INC $2 0.00% 8
FMR LLC $1 0.00% 3
Evelyn Partners Group Ltd $1 0.00% 2
Key facts CIK 1378140 CUSIP 674870506 13F (30d) 31 filings 31 filers Visit website Investor relations