AvePoint exec chair has 4,724 shares withheld

AvePoint’s executive chairman had 4,724 AVPT shares withheld to cover tax or exercise obligations tied to equity awards.

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that Executive Chairman Gong Xunkai had a total of 4,724 shares of common stock withheld on September 4, 2026 in two exempt transactions. These code F transactions were shares withheld to pay exercise price or income tax liabilities upon vesting or settlement of awards under the 2021 Equity Incentive Plan, and are not described as discretionary sales.

Insider Trade Summary

Exercise Price or Tax Liability: 4,724 shares

Exercise Price or Tax Liability 2 txns

Insider Gong Xunkai

Role Executive Chairman

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	1,041	$13.43	$14K
Exercise Price or Tax Liability	Common Stock F1, F2, F3	3,683	$13.43	$49K

Holdings After Transaction: Common Stock — 1,864,308 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 (transaction 1): 1,041 shares Shares withheld (transaction 2): 3,683 shares Total shares withheld for obligations: 4,724 shares +1 more

4 metrics

Shares withheld (transaction 1) 1,041 shares Shares of AvePoint common stock withheld on September 4, 2026 to cover exercise price or tax liability

Shares withheld (transaction 2) 3,683 shares Additional AvePoint common shares withheld on September 4, 2026 for exercise price or tax liability

Total shares withheld for obligations 4,724 shares Sum of both code F transactions reported for September 4, 2026

Reported price per share $13.43 per share Price associated with both withholding transactions on September 4, 2026

Key Terms

restricted stock units, Rule 16b-3, net settlement, income tax withholding and remittance obligations, +1 more

5 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 and remittance obligations financial

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

2021 Equity Incentive Plan financial

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

FAQ

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

AvePoint reported that Executive Chairman Gong Xunkai had 4,724 shares of common stock withheld on September 4, 2026 in exempt transactions used to cover exercise price or income tax liabilities related to equity award vesting.

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

No. The Form 4 states the transactions were exempt and represent shares withheld by AvePoint to satisfy exercise price or tax liabilities under Rule 16b-3, and it notes they do not represent a discretionary transaction by Gong Xunkai.

How many AvePoint (AVPT) shares were involved in each Form 4 code F transaction?

One transaction covered 1,041 shares and the other covered 3,683 shares of AvePoint common stock, for a total of 4,724 shares withheld to cover exercise price or tax obligations tied to equity awards.

What price per share is reported for the AvePoint (AVPT) insider withholding transactions?

Both transactions report a price of $13.43 per share for the AvePoint common stock withheld in connection with the payment of exercise price or income tax liabilities on vested or settled equity awards.

Were the AvePoint (AVPT) insider transactions made under a Rule 10b5-1 trading plan?

The Form 4 indicates no Rule 10b5-1 trading plan for these transactions. Instead, the footnotes describe them as net settlement events where shares were withheld to satisfy exercise price or tax obligations under Rule 16b-3.

What kind of equity awards are referenced in the AvePoint (AVPT) Form 4 footnotes?

The footnotes state that the holdings include AvePoint common stock and restricted stock units (RSUs) granted under the 2021 Equity Incentive Plan, with each RSU representing the right to receive one share upon vesting.

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Available on EDGAR 09/09/2026 - 07:03 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^*

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)
09/04/2026

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		1,041(2)	D	$13.43	1,867,991(3)	D
Common Stock(1)	09/04/2026		F		3,683(2)	D	$13.43	1,864,308(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.
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)