AvePoint CFO has shares withheld for tax bill

AvePoint, Inc. Chief Financial Officer James Caci reported routine, non-market transactions related to equity compensation.

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Form Type

Rhea-AI Filing Summary

AvePoint, Inc. Chief Financial Officer James Caci reported routine, non-market transactions related to equity compensation. On June 12, 2026, a total of 8,637 shares of common stock were disposed of at $10.87 per share to satisfy income tax withholding obligations on vested awards under the 2021 Equity Incentive Plan. The footnotes state these are exempt transactions under Rule 16b-3 and do not represent discretionary trading decisions. Reported holdings include both common stock and vested and unvested RSUs subject to previously disclosed vesting schedules.

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	6,120	$10.87	$67K
Exercise Price or Tax Liability	Common Stock	2,517	$10.87	$27K

Holdings After Transaction: Common Stock — 697,857 shares (Direct)

Footnotes (3)

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.
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.
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

Tax-withheld shares: 8,637 shares Valuation price per share: $10.87 per share First withholding block: 2,517 shares +2 more

5 metrics

Tax-withheld shares 8,637 shares Total shares withheld for tax obligations on 2026-06-12

Valuation price per share $10.87 per share Value used for tax-withholding dispositions

First withholding block 2,517 shares Common stock disposed in one F-code tax withholding

Second withholding block 6,120 shares Common stock disposed in another F-code tax withholding

Tax-withholding transactions 2 transactions F-code exempt dispositions under Rule 16b-3

Key Terms

restricted stock units, RSU, Rule 16b-3, 2021 Equity Incentive Plan, +1 more

5 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"

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

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

net settlement financial

"withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the securities"

FAQ

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

What did AvePoint (AVPT) CFO James Caci report in this Form 4?

AvePoint CFO James Caci reported exempt transactions where shares were withheld to cover tax obligations on vested equity awards, rather than open-market sales. These dispositions relate to compensation under the 2021 Equity Incentive Plan and follow Rule 16b-3 provisions.

How many AvePoint (AVPT) shares were withheld for taxes in this filing?

A total of 8,637 AvePoint common shares were withheld to satisfy income tax withholding and remittance obligations. The filing notes these shares were delivered or withheld incident to vesting of securities, and are not discretionary market trades by the CFO.

At what price were the AvePoint (AVPT) shares valued for the tax withholding?

The withheld AvePoint shares were valued at $10.87 per share for tax withholding purposes. This price is used to calculate the value of shares delivered to satisfy income tax obligations arising from the net settlement of vested equity awards.

Do these AvePoint (AVPT) transactions indicate the CFO sold shares in the market?

No, the filing specifies the dispositions are exempt under Rule 16b-3 and represent shares withheld by the issuer for tax liabilities. The footnote clarifies they do not represent discretionary transactions or open-market sales by the CFO.

What equity plan governs the AvePoint (AVPT) awards in this Form 4?

The awards are granted under AvePoint’s 2021 Equity Incentive Plan. The filing notes the reported securities include common stock and RSUs, with vesting schedules previously disclosed in earlier Form 4 filings on multiple historical dates.

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

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 06/16/2026 - 06:36 PM EDT

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)
06/12/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock⁽¹⁾	06/12/2026		F		6,120⁽²⁾	D	$10.87	700,374⁽³⁾	D
Common Stock⁽¹⁾	06/12/2026		F		2,517⁽²⁾	D	$10.87	697,857⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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	06/16/2026
	** 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)

Source: View Original Filing on SEC EDGAR