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AVPT Insider Sale: 216,000 Shares Disposed During SGX‑ST Listing

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Caci James, Chief Financial Officer and director of AvePoint, Inc. (AVPT), reported a sale of 216,000 shares of the issuer's common stock on 09/18/2025 at a price of $15.21 per share executed on the Singapore Exchange Securities Trading Limited (SGX-ST) to facilitate initial liquidity related to the company's SGX-ST secondary listing. The filing states the transaction complied with Rule 144 and the company's insider trading policies. Following the reported sale, the reporting person beneficially owns 213,030 shares, which include non-RSU common stock and both vested and unvested restricted stock units (RSUs) granted under the 2021 Equity Incentive Plan as previously disclosed.

Positive

  • Transaction disclosed promptly on Form 4 with explanation linking sale to SGX-ST listing
  • Compliance stated with Rule 144 and company insider trading policies, indicating procedural adherence
  • Remaining beneficial ownership disclosed (213,030 shares) including RSUs, improving transparency

Negative

  • Significant sale size of 216,000 shares could be viewed negatively by some investors absent broader context
  • Sale executed off‑U.S. exchange (SGX‑ST), which may limit immediate market visibility for U.S. investors

Insights

Insider sale tied to SGX-ST listing; compliance noted, limited standalone signal.

The 216,000-share disposition was executed specifically to provide liquidity for AvePoint's SGX-ST secondary listing, and the filer confirms adherence to Rule 144 and company policies. The sale price of $15.21 is reported for the transaction, and the filer still retains 213,030 shares including RSUs. As a single filing, this is a routine disclosure documenting an insider liquidity event rather than operational performance or governance change.

Documented insider transaction with procedural compliance; raises standard governance disclosure questions.

The Form 4 provides the necessary disclosure of a material insider sale and explains the nexus to the SGX-ST listing, which supports transparency. Inclusion of vested and unvested RSUs clarifies the composition of retained holdings. There is no indication of policy breach or unusual trading pattern in the filing itself.

Insider Caci James
Role Chief Financial Officer
Sold 216,000 shs ($3.29M)
Type Security Shares Price Value
Sale Common Stock 216,000 $15.21 $3.29M
Holdings After Transaction: Common Stock — 213,030 shares (Direct)
Footnotes (1)
  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. The reported sale of shares was made pursuant to the Company's secondary listing on the Singapore Exchange Securities Trading Limited ("SGX-ST") on September 18, 2025. The sale was executed to facilitate initial liquidity in connection with the SGX-ST listing. The reporting person undertook the transaction in accordance with Rule 144 and applicable insider trading policies. No shares were sold on NASDAQ in connection with this transaction. 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 and March 18, 2025.
Form 4 Insider Transactions: What Each Field Means →
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 NJ 07310
(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
09/18/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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) 09/18/2025 S 216,000(2) D $15.21 213,030(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. The reported sale of shares was made pursuant to the Company's secondary listing on the Singapore Exchange Securities Trading Limited ("SGX-ST") on September 18, 2025. The sale was executed to facilitate initial liquidity in connection with the SGX-ST listing. The reporting person undertook the transaction in accordance with Rule 144 and applicable insider trading policies. No shares were sold on NASDAQ in connection with this transaction.
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 and March 18, 2025.
/s/ Brian Michael Brown, Attorney-in-Fact 09/22/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did AvePoint (AVPT) reporting person sell on 09/18/2025?

The reporting person sold 216,000 shares of AvePoint common stock on 09/18/2025.

At what price were the AVPT shares sold?

The sale price reported for the transaction was $15.21 per share.

Where was the AVPT sale executed?

The filing states the sale was executed on the Singapore Exchange Securities Trading Limited (SGX‑ST) to facilitate initial liquidity for the SGX‑ST listing.

How many AVPT shares does the reporting person own after the sale?

After the reported transaction the reporting person beneficially owns 213,030 shares, including non‑RSU common stock and vested and unvested RSUs.

Did the filing state compliance with insider trading rules?

Yes. The reporting person states the transaction was undertaken in accordance with Rule 144 and applicable insider trading policies.