AvePoint CFO has 5,714 shares withheld for taxes

AvePoint’s CFO had shares withheld for tax obligations tied to equity awards, not as open-market sales.

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that its Chief Financial Officer, Caci James, had a total of 5,714 shares of common stock withheld on September 4, 2026 to satisfy tax obligations related to equity vesting. The company states these were exempt transactions under Rule 16b-3 and not discretionary trades by the executive.

Insider Trade Summary

Exercise Price or Tax Liability: 5,714 shares

Exercise Price or Tax Liability 3 txns

Insider Caci James

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	388	$13.43	$5K
Exercise Price or Tax Liability	Common Stock F1, F2, F3	1,369	$13.43	$18K
Exercise Price or Tax Liability	Common Stock F1, F2, F3	3,957	$13.43	$53K

Holdings After Transaction: Common Stock — 692,143 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 obligations: 5,714 shares First withholding lot: 388 shares Second withholding lot: 1,369 shares +2 more

5 metrics

Shares withheld for tax obligations 5,714 shares Total common shares withheld on September 4, 2026 for tax obligations related to equity awards

First withholding lot 388 shares Common stock withheld on September 4, 2026 for payment of tax liability

Second withholding lot 1,369 shares Common stock withheld on September 4, 2026 for payment of tax liability

Third withholding lot 3,957 shares Common stock withheld on September 4, 2026 for payment of tax liability

Reference price per share $13.43 per share Price reported for each of the three code F transactions on September 4, 2026

Key Terms

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

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.

Rule 16b-3 regulatory

"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.

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"

FAQ

What did AvePoint (AVPT) disclose about the CFO’s Form 4 transactions?

AvePoint reported that CFO Caci James had 5,714 shares of common stock withheld on September 4, 2026 to cover tax obligations from equity awards, classified as an exempt transaction under Rule 16b-3 and not a discretionary trade.

Were the AvePoint (AVPT) Form 4 transactions open-market sales by the CFO?

No. The filing states the shares were withheld by AvePoint to satisfy its income tax withholding and remittance obligations in connection with the net settlement of equity securities and do not represent a discretionary transaction by CFO Caci James.

How many AvePoint (AVPT) shares were withheld in each Form 4 transaction?

On September 4, 2026, AvePoint reported three code F dispositions of common stock: 388 shares, 1,369 shares, and 3,957 shares, all at a reference price of $13.43 per share, totaling 5,714 shares withheld for tax obligations.

What type of securities were involved in the AvePoint (AVPT) CFO’s Form 4?

The Form 4 involves AvePoint common stock, including shares tied to restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of common stock upon vesting under AvePoint’s 2021 Equity Incentive Plan.

Was a Rule 10b5-1 trading plan used in the AvePoint (AVPT) CFO transactions?

No. The document-level Rule 10b5-1 checkbox is unchecked, and the footnotes describe the activity as shares withheld for tax obligations under Rule 16b-3, not trades executed under a pre-arranged Rule 10b5-1 trading plan.

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

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Available on EDGAR 09/09/2026 - 07:02 PM Accepted by SEC EDGAR 09/09/2026 - 07:02 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)
09/04/2026

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)	09/04/2026		F		388(2)	D	$13.43	697,469(3)	D
Common Stock(1)	09/04/2026		F		1,369(2)	D	$13.43	696,100(3)	D
Common Stock(1)	09/04/2026		F		3,957(2)	D	$13.43	692,143(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	09/09/2026
	** 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)