AvePoint chair has 3,137 shares withheld for tax

Executive Chairman Gong Xunkai had shares withheld for tax or exercise-price obligations on RSU vesting and now holds 1,861,171 AvePoint shares and RSUs.

Available on EDGAR 09/15/2026 - 04:55 PM EDT Accepted by SEC EDGAR 09/15/2026 - 04:55 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that Executive Chairman and director Gong Xunkai had 3,137 shares of common stock withheld on September 11, 2026 to pay exercise price or tax liability in connection with RSU vesting under the 2021 Equity Incentive Plan, an exempt, non-discretionary transaction. After this withholding, he holds 1,861,171 shares of common stock and RSUs in total.

Insider Trade Summary

Exercise Price or Tax Liability: 3,137 shares

Exercise Price or Tax Liability 1 txn

Insider Gong Xunkai

Role Executive Chairman

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	3,137	$12.66	$40K

Holdings After Transaction: Common Stock — 1,861,171 shares (Direct)

Footnotes (3)

1. F1. 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. F2. 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 securities and does not represent a discretionary transaction by the Reporting Person.
3. F3. 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, March 18, 2025, and March 18, 2026.

Key Figures

Shares withheld for tax or exercise obligations: 3,137 shares Transaction price per share: $12.66 per share Holdings after transaction: 1,861,171 shares +1 more

4 metrics

Shares withheld for tax or exercise obligations 3,137 shares Common stock withheld on September 11, 2026 to satisfy exercise price or income tax withholding on RSU net settlement

Transaction price per share $12.66 per share Value used for the 3,137 shares withheld in the exempt code F transaction

Holdings after transaction 1,861,171 shares Total AvePoint common stock and RSUs held directly by Gong Xunkai after the September 11, 2026 withholding

Exercise-price-or-tax-liability disposition shares 3,137 shares Total shares reported under code F for payment of exercise price or tax liability

Key Terms

restricted stock units (RSUs), net settlement, Rule 16b-3, income tax withholding and remittance obligations

4 terms

restricted stock units (RSUs) financial

"This security represents the Issuer's common stock as well as restricted stock units (each, an "RSU")"

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

net settlement financial

"in connection with the net settlement of the securities and does not represent"

Rule 16b-3 regulatory

"security issued in accordance with Rule 16b-3. The shares reported as disposed"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

income tax withholding and remittance obligations financial

"withheld by the Issuer to satisfy its income tax withholding and remittance obligations"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did AvePoint (AVPT) report for Gong Xunkai?

AvePoint reported that Executive Chairman Gong Xunkai had 3,137 shares of common stock withheld on September 11, 2026 to cover exercise price or tax liability related to RSU vesting, treated as an exempt, non-discretionary transaction.

How many AvePoint (AVPT) shares were involved and at what price?

The transaction involved 3,137 shares of AvePoint common stock at $12.66 per share, which were withheld by the company to satisfy exercise price or income tax withholding and remittance obligations tied to RSU net settlement.

Did Gong Xunkai sell AvePoint (AVPT) shares in the open market?

No. The filing states the disposition was exempt and that the shares were withheld by AvePoint to satisfy income tax withholding and remittance obligations on RSU net settlement, and "does not represent a discretionary transaction" by Gong Xunkai.

What is Gong Xunkai’s AvePoint (AVPT) ownership after this transaction?

Following the withholding, Gong Xunkai holds 1,861,171 shares in total, consisting of non-RSU common stock plus vested and unvested RSUs subject to vesting schedules previously reported in earlier Form 4 filings.

Was this AvePoint (AVPT) insider transaction under a Rule 10b5-1 plan?

The filing does not report a Rule 10b5-1 trading plan for this transaction; the document-level checkbox is not checked, and the footnotes describe it as tax or exercise-price withholding on RSU vesting rather than a pre-arranged trading plan.

How are RSUs described in AvePoint’s (AVPT) disclosure for Gong Xunkai?

The filing explains that each restricted stock unit (RSU) under AvePoint’s 2021 Equity Incentive Plan represents a contingent right to receive, upon vesting, one share of AvePoint common stock.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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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^*

Gong Xunkai

(Last) (First) (Middle)

C/O AVEPOINT, INC.

525 WASHINGTON BOULEVARD, SUITE 1400

(Street)

JERSEY CITY NEW JERSEY 07310

(City) (State) (Zip)

UNITED STATES

(Country)

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)
	Executive Chairman

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/11/2026

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

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

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

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)	09/11/2026		F		3,137(2)	D	$12.66	1,861,171(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 securities 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, March 18, 2025, and March 18, 2026.

	/s/ Brian Michael Brown, Attorney-in-Fact	09/15/2026
	** 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.
* Form 4: SEC 1474 (03-26)