AvePoint CFO RSU Tax-Withholding: 3,957 Shares Withheld; 667,833 Owned

Rhea-AI Filing Summary

Caci James, Chief Financial Officer of AvePoint, Inc. (AVPT), reported a Section 16 Form 4 disclosing a non-discretionary share disposition on 09/05/2025. The filing shows 3,957 shares of common stock were disposed of at a price of $16.27 per share as an exempt transaction where shares were withheld to satisfy tax withholding related to the net settlement of restricted stock units (RSUs). After the withholding, the reporting person beneficially owns 667,833 shares, which includes both non-RSU common stock and aggregate vested and unvested RSUs subject to previously reported vesting schedules. The Form 4 was signed by an attorney-in-fact on 09/09/2025.

Positive

• Reporting person retains substantial beneficial ownership of 667,833 shares, indicating continued equity stake in AVPT
• Disposition is an exempt, non-discretionary tax withholding related to RSU net settlement rather than an open-market sale

Negative

• 3,957 shares were disposed of (withheld) to satisfy tax obligations at an effective price of $16.27 per share

Insights

Corporate Governance Expert

TL;DR: Routine tax-withholding disposition of RSUs by the CFO; maintains a sizable beneficial holding.

The transaction is recorded as an exempt disposition where 3,957 shares were withheld to cover tax liabilities arising from RSU net settlement. This is a procedural, non-discretionary action consistent with equity compensation administration and Rule 16b-3 exemptions. The remaining beneficial ownership of 667,833 shares is disclosed and includes both vested and unvested RSUs previously reported. No new grants, exercises, or discretionary sales are shown.

Securities Analyst

TL;DR: No material change to ownership structure; the filing documents routine withholding at $16.27 per share.

The reported price of $16.27 reflects the value associated with the withheld shares for tax purposes on 09/05/2025. Because the filing characterizes the transfer as an exempt withholding incident to RSU settlement, it does not indicate an active sale by the officer. The disclosure quantifies total beneficial holdings at 667,833 shares, which investors can use to track insider exposure but does not itself signal a change in control or major shift in insider intent.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Caci James

(Last) (First) (Middle)

C/O AVEPOINT, INC.

525 WASHINGTON BOULEVARD, SUITE 1400

(Street)

JERSEY CITY NJ 07310

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
AvePoint, Inc. [ AVPT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
09/05/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock(1)	09/05/2025		F		3,957(2)	D	$16.27	667,833(3)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. This security represents the Issuer's common stock as well as restricted stock units (each, an "RSU") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

2. Exempt transaction consisting of the payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. The shares reported as disposed of in this Form 4 represent the number of shares of the Issuer's common stock that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a discretionary transaction by the Reporting Person.

3. Includes non-RSU common stock as well as aggregate vested and unvested RSUs held by the Reporting Person subject to the vesting schedules previously reported on Table I of Form 4s filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023, March 7, 2024, and March 18, 2025.

	/s/ Brian Michael Brown, Attorney-in-Fact	09/09/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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FAQ

What did AVPT CFO Caci James report on Form 4?

The Form 4 reports a withholding disposition of 3,957 shares related to RSU net settlement on 09/05/2025, leaving 667,833 shares beneficially owned.

Why were shares disposed of according to the Form 4 for AVPT?

The filing states the shares were withheld by the issuer to satisfy income tax withholding obligations incident to RSU net settlement, an exempt transaction under Rule 16b-3.

At what price were the withheld AVPT shares recorded?

The transaction is reported at a price of $16.27 per share.

When was the reported transaction executed and when was the Form 4 signed?

The transaction date is 09/05/2025 and the Form 4 was signed by an attorney-in-fact on 09/09/2025.

Does the Form 4 show any option exercises or new derivative transactions for AVPT?

No. Table II (derivative securities) contains no reported transactions; the filing only reports non-derivative common stock withholding related to RSUs.