AvePoint CEO has 2,914 shares withheld for taxes

AvePoint’s CEO had shares withheld to cover taxes on equity vesting, leaving over 2.24 million shares held, and no discretionary sale is reported.

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that Chief Executive Officer and director Tianyi Jiang had 2,914 shares of common stock withheld on September 11, 2026 to satisfy income tax obligations related to the vesting or settlement of equity awards, an exempt transaction under Rule 16b-3. After this withholding, he holds 2,244,311 shares of common stock, including both non-RSU shares and vested and unvested restricted stock units granted under AvePoint’s 2021 Equity Incentive Plan.

Insider Trade Summary

Exercise Price or Tax Liability: 2,914 shares

Exercise Price or Tax Liability 1 txn

Insider Jiang Tianyi

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	2,914	$12.66	$37K

Holdings After Transaction: Common Stock — 2,244,311 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 taxes: 2,914 shares Per-share value for withheld shares: $12.66 per share Shares held after transaction: 2,244,311 shares

3 metrics

Shares withheld for taxes 2,914 shares Common stock withheld on September 11, 2026 to satisfy income tax obligations

Per-share value for withheld shares $12.66 per share Applied to the 2,914 AvePoint common shares withheld

Shares held after transaction 2,244,311 shares Total AvePoint common stock and RSUs held by the CEO after the withholding

Key Terms

restricted stock units, 2021 Equity Incentive Plan, Rule 16b-3, net settlement

4 terms

restricted stock units financial

"This security 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.

2021 Equity Incentive Plan financial

"RSU granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan"

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.

net settlement financial

"in connection with the net settlement of the securities"

FAQ

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

What insider transaction did AvePoint (AVPT) report for its CEO on this Form 4?

The CEO, Tianyi Jiang, reported an exempt transaction where 2,914 shares of AvePoint common stock were withheld on September 11, 2026 to satisfy income tax obligations from equity vesting or settlement.

Did the AvePoint (AVPT) CEO make a discretionary sale of shares in this Form 4?

No. The filing states the 2,914 shares were withheld by AvePoint to satisfy income tax withholding and remittance obligations in a net settlement and “does not represent a discretionary transaction” by the CEO.

How many AvePoint (AVPT) shares does the CEO hold after this reported transaction?

After the transaction, the CEO holds 2,244,311 shares of AvePoint common stock, including both non-RSU shares and aggregate vested and unvested restricted stock units subject to previously disclosed vesting schedules.

What price per share applies to the AvePoint (AVPT) CEO’s withheld shares?

The filing reports a value of $12.66 per share for the 2,914 AvePoint common shares withheld to satisfy the CEO’s tax obligations associated with the vesting or settlement of equity awards.

Was the AvePoint (AVPT) CEO’s transaction under a Rule 10b5-1 trading plan?

No. The Form 4 indicates no Rule 10b5-1 plan for this transaction, and the footnote describes it as an exempt tax-withholding event related to equity compensation, not a pre-arranged trading plan.

What type of equity awards are involved in this AvePoint (AVPT) Form 4?

The holdings include AvePoint common stock and restricted stock units (RSUs) granted under the 2021 Equity Incentive Plan, where each RSU represents the right to receive one share of common stock upon vesting.

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

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Available on EDGAR 09/15/2026 - 04:57 PM Accepted by SEC EDGAR 09/15/2026 - 04:56 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^*

Jiang Tianyi

(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)
	Chief Executive 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		2,914(2)	D	$12.66	2,244,311(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)