AvePoint CLO has 27 shares withheld for taxes

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown reported an exempt tax-withholding transaction related to equity compensation.

Rhea-AI Filing Summary

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown reported an exempt tax-withholding transaction related to equity compensation. On this event, 27 shares of common stock were withheld at $10.89 per share to satisfy tax obligations. Following the withholding, he directly holds 820,151 shares of common stock, including both non-RSU shares and vested and unvested RSUs granted under AvePoint’s 2021 Equity Incentive Plan.

Insider Trade Summary

Exercise Price or Tax Liability: 27 shares

Exercise Price or Tax Liability 1 txn

Insider Brown Brian Michael

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	27	$10.89	$294.03

Holdings After Transaction: Common Stock — 820,151 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: 27 shares Withholding price per share: $10.89 per share Shares held after transaction: 820,151 shares +1 more

4 metrics

Shares withheld for taxes 27 shares Tax-withholding disposition on common stock

Withholding price per share $10.89 per share Value used for 27-share tax withholding

Shares held after transaction 820,151 shares Direct holdings after tax-withholding event, including RSUs

Tax-withholding transactions 1 transaction, 27 shares Summary of Form 4 tax-withholding activity

Key Terms

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

4 terms

restricted stock units financial

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

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.

RSU financial

"Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock."

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

Rule 16b-3 regulatory

"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."

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.

2021 Equity Incentive Plan financial

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

FAQ

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

What insider transaction did AvePoint (AVPT) report for Brian Michael Brown?

AvePoint reported that Chief Legal Officer Brian Michael Brown had 27 shares of common stock withheld to cover tax obligations related to equity compensation. This exempt transaction was not a discretionary market trade and reflects routine tax withholding on vested or settled awards.

Was the AvePoint (AVPT) insider transaction a stock sale in the open market?

No, the transaction was not an open-market sale. The 27 shares were withheld by AvePoint to satisfy income tax withholding and remittance obligations upon net settlement of equity awards, as described under Rule 16b-3, and not a discretionary decision to sell shares.

How many AvePoint (AVPT) shares does Brian Michael Brown hold after this Form 4?

After the reported tax-withholding transaction, Brian Michael Brown directly holds 820,151 AvePoint common shares. This total includes both non-RSU common stock and vested and unvested restricted stock units granted under the company’s 2021 Equity Incentive Plan, subject to their respective vesting schedules.

What does the F transaction code mean in AvePoint (AVPT) Brown’s Form 4?

The F code indicates an exempt transaction where shares are delivered or withheld to pay an exercise price or tax liability. In this case, 27 AvePoint shares were withheld to satisfy income tax obligations tied to the vesting or settlement of previously granted equity securities.

How are restricted stock units (RSUs) described in this AvePoint (AVPT) filing?

Each restricted stock unit represents a contingent right to receive one share of AvePoint’s common stock upon vesting. Brown’s reported holdings include common shares plus aggregate vested and unvested RSUs granted under the 2021 Equity Incentive Plan, following vesting schedules disclosed in prior Form 4 filings.

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

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Accepted by SEC EDGAR 06/08/2026 - 05:31 PM EDT 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
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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^*

Brown Brian Michael

(Last) (First) (Middle)

C/O AVEPOINT, INC.

901 E BYRD ST, SUITE 900

(Street)

RICHMOND VIRGINIA 23219

(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 Legal Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/04/2026

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)	06/04/2026		F		27(2)	D	$10.89	820,151(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	06/08/2026
	** 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)