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  4. [Form 4] AvePoint, Inc. Insider Trading Activity

AvePoint CEO disposes 2,068,966 shares; retains 13.84M indirectly

Filing Impact
(Very High)
Filing Sentiment
(Very Negative)
Form Type
4

Rhea-AI Filing Summary

AvePoint director and CEO Dr. Jiang Tianyi reported a sale of 2,068,966 common shares at $15.21 per share on 09/18/2025 to facilitate initial liquidity for the company's secondary listing on the Singapore Exchange (SGX-ST). The filing states the sale complied with Rule 144 and insider trading policies and that no shares were sold on NASDAQ. After the transaction Dr. Jiang is reported to beneficially own 13,841,853 shares indirectly through trusts and LLCs, with the filing listing specific affiliated entities and trusts that hold those shares.

Positive

  • Sale executed to facilitate SGX-ST secondary listing liquidity, indicating a market-structure reason for the transaction
  • Transaction conducted under Rule 144 and insider trading policies, per the filing
  • Reporting person retains a large indirect stake of 13,841,853 shares after the sale

Negative

  • Insider disposed of 2,068,966 shares, a sizable sale that investors may view as material
  • Shares sold were not executed on NASDAQ, which may affect liquidity profiles for U.S. investors

Insights

TL;DR: Insider sold ~2.07M shares for SGX listing liquidity while retaining ~13.84M shares indirectly; transaction appears orderly.

The sale of 2,068,966 shares at $15.21 was executed to provide liquidity tied to AvePoint's SGX-ST secondary listing and was conducted under Rule 144, indicating an attempt to meet regulatory resale conditions. The reporting person still holds a substantial indirect stake of 13,841,853 shares across affiliated entities and trusts, which preserves significant ownership influence. This transaction is material in size but framed as administrative for market-structure purposes rather than a company-specific financing or operational event.

TL;DR: Director/officer sale noted; disclosure lists trusts/LLCs and a disclaimer of beneficial ownership for some holdings.

The Form 4 discloses both the insider sale and detailed ownership through multiple trusts and LLCs, including River Valley Ltd., Red Kite LLC and several Capella GRATs, plus a spouse-held block. The filing includes the standard disclaimer about disclaimed beneficial ownership for trusts/LLCs. From a governance perspective, transparent reporting of the sale, its purpose tied to SGX-ST listing liquidity, and compliance with Rule 144 reduce immediate red flags, though investors will note insider selling activity.

Insider Jiang Tianyi
Role Chief Executive Officer
Sold 2,068,966 shs ($31.47M)
Type Security Shares Price Value
Sale Common Stock 2,068,966 $15.21 $31.47M
Holdings After Transaction: Common Stock — 13,841,853 shares (Indirect, Held by trusts and LLCs)
Footnotes (1)
  1. The reported sale of shares was made pursuant to the Company's secondary listing on the Singapore Exchange Securities Trading Limited ("SGX-ST") on September 18, 2025. The sale was executed to facilitate initial liquidity in connection with the SGX-ST listing. The reporting person undertook the transaction in accordance with Rule 144 and applicable insider trading policies. No shares were sold on NASDAQ in connection with this transaction. Includes (i) 2,668,057 shares held by Dr. Jiang's affiliate River Valley Ltd., (ii) 2,678,631 shares held by Red Kite LLC, each of which Dr. Jiang may be deemed to beneficially own, (iii) 837,060 shares held by Capella 2022 GRAT II, (iv) 3,338,392 shares held by the Capella 2023 GRAT, (v) 2,888,135 shares held by Capella 2024 GRAT, (vi) 1,259,578 shares held by Capella 2024 GRAT II, in case of each of (iii)-(vi), for which Dr. Jiang is the trustee and (vii) 172,000 shares held by Dr. Jiang's spouse. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, except to the extent his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
Form 4 Insider Transactions: What Each Field Means →
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Jiang Tianyi
(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)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/18/2025
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 09/18/2025 S 2,068,966(1) D $15.21 13,841,853(2) I Held by trusts and LLCs
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. The reported sale of shares was made pursuant to the Company's secondary listing on the Singapore Exchange Securities Trading Limited ("SGX-ST") on September 18, 2025. The sale was executed to facilitate initial liquidity in connection with the SGX-ST listing. The reporting person undertook the transaction in accordance with Rule 144 and applicable insider trading policies. No shares were sold on NASDAQ in connection with this transaction.
2. Includes (i) 2,668,057 shares held by Dr. Jiang's affiliate River Valley Ltd., (ii) 2,678,631 shares held by Red Kite LLC, each of which Dr. Jiang may be deemed to beneficially own, (iii) 837,060 shares held by Capella 2022 GRAT II, (iv) 3,338,392 shares held by the Capella 2023 GRAT, (v) 2,888,135 shares held by Capella 2024 GRAT, (vi) 1,259,578 shares held by Capella 2024 GRAT II, in case of each of (iii)-(vi), for which Dr. Jiang is the trustee and (vii) 172,000 shares held by Dr. Jiang's spouse. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, except to the extent his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose.
/s/ Brian Michael Brown, Attorney-in-Fact 09/22/2025
** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

How many shares did AVPT insider Dr. Jiang sell and at what price?

2,068,966 shares were sold at $15.21 per share according to the Form 4.

Why were the shares sold in the AVPT Form 4?

The sale was made to facilitate initial liquidity for AvePoint's secondary listing on the Singapore Exchange (SGX-ST), as stated in the filing.

Did the Form 4 indicate compliance with resale rules for AVPT shares?

Yes. The filing states the transaction was undertaken in accordance with Rule 144 and applicable insider trading policies.

How many AVPT shares does the reporting person beneficially own after the sale?

13,841,853 shares (indirectly) are reported as beneficially owned following the transaction.

Were any AVPT shares sold on NASDAQ in this transaction?

No. The filing explicitly states that no shares were sold on NASDAQ in connection with this transaction.