AvePoint CFO has 8,637 shares withheld for taxes

AvePoint’s CFO had 8,637 AVPT shares withheld in exempt transactions to satisfy tax obligations on equity awards, not as discretionary market sales.

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that Chief Financial Officer Caci James had shares of Common Stock withheld in two exempt transactions to cover tax obligations tied to equity awards. On September 11, 2026, 6,120 shares were withheld at $12.66 per share, and on September 14, 2026, 2,517 shares were withheld at $13.60 per share. Footnotes state these dispositions were for the issuer’s income tax withholding and remittance obligations in connection with net settlement of restricted stock units and do not represent discretionary trades, and that the holdings include both non-RSU common stock and vested and unvested RSUs granted under the 2021 Equity Incentive Plan. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Exercise Price or Tax Liability: 8,637 shares

Exercise Price or Tax Liability 2 txns

Insider Caci James

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	2,517	$13.60	$34K
Exercise Price or Tax Liability	Common Stock F1, F2, F3	6,120	$12.66	$77K

Holdings After Transaction: Common Stock — 683,506 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 (September 11, 2026): 6,120 shares at $12.66 per share Shares withheld for tax (September 14, 2026): 2,517 shares at $13.60 per share Total shares used for tax/exercise-price-or-tax-liability: 8,637 shares

3 metrics

Shares withheld for tax (September 11, 2026) 6,120 shares at $12.66 per share Exempt disposition by withholding to satisfy income tax withholding obligations

Shares withheld for tax (September 14, 2026) 2,517 shares at $13.60 per share Exempt disposition by withholding to satisfy income tax withholding obligations

Total shares used for tax/exercise-price-or-tax-liability 8,637 shares Aggregate shares in code F transactions for exercise price or tax liability

Key Terms

restricted stock units, net settlement, income tax withholding, Rule 16b-3

4 terms

restricted stock units financial

"represents the Issuer's common stock as well as restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

net settlement financial

"in connection with the net settlement of the securities"

income tax withholding financial

"withheld by the Issuer to satisfy its income tax withholding"

Rule 16b-3 regulatory

"issued in accordance with Rule 16b-3"

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.

FAQ

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

What insider transactions did AvePoint (AVPT) disclose for its CFO?

AvePoint disclosed that CFO Caci James had a total of 8,637 shares of common stock withheld in two exempt transactions on September 11 and 14, 2026, solely to satisfy income tax withholding related to equity award vesting, not as discretionary market sales.

Were the recent AVPT insider share dispositions by the CFO discretionary sales?

No. Footnotes state the 6,120 and 2,517 shares reported as disposed were withheld by AvePoint to satisfy income tax withholding and remittance obligations from net settlement of equity awards and “do not represent a discretionary transaction” by the CFO.

At what prices were the AvePoint (AVPT) shares withheld for the CFO’s tax obligations?

For CFO Caci James, 6,120 shares were withheld on September 11, 2026 at $12.66 per share, and 2,517 shares were withheld on September 14, 2026 at $13.60 per share, in each case to satisfy income tax withholding on equity awards.

Does the AVPT Form 4 indicate transactions under a Rule 10b5-1 trading plan?

No. The Form 4 indicates no Rule 10b5-1 plan for these transactions. Instead, the code F entries are described as exempt transactions for payment of tax liability by delivering or withholding securities under Rule 16b-3.

How are the CFO’s AvePoint (AVPT) holdings described after these transactions?

Footnotes state the reported holdings include non-RSU common stock as well as aggregate vested and unvested RSUs under AvePoint’s 2021 Equity Incentive Plan, subject to vesting schedules previously reported in earlier Form 4 filings.

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

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Available on EDGAR 09/15/2026 - 04:53 PM Accepted by SEC EDGAR 09/15/2026 - 04:53 PM Learn about SEC filing dates

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^*

Caci James

(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)

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

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		6,120(2)	D	$12.66	686,023(3)	D
Common Stock(1)	09/14/2026		F		2,517(2)	D	$13.6	683,506(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.
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* Form 4: SEC 1474 (03-26)