AvePoint (AVPT) CFO receives 294K RSU and PRSU equity awards

Rhea-AI Filing Summary

Caci James reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. Chief Financial Officer Caci James received equity awards covering 294,677 shares of common stock on March 13, 2026, at no cash cost, increasing her direct holdings to 715,031 shares.

The awards consist of restricted stock units (RSUs) and performance-based RSUs (PRSUs) granted under AvePoint’s 2021 Equity Incentive Plan. For one RSU grant, 25% will vest on March 15, 2027, with the remaining portion vesting in 12 quarterly installments thereafter, contingent on continued service.

The PRSUs are tied to two performance metrics for 2026–2028: annual recurring revenue compounded annual growth rate (70% weight) and fiscal 2028 GAAP profitability (30% weight). Actual payouts may range from 50% to 200% of the granted value and will fully vest after the compensation committee certifies results at the end of the performance period.

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

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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)
03/16/2026

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)	03/13/2026		A		221,008(2)	A	$0	641,362(3)	D
Common Stock(1)	03/13/2026		A		73,669(4)	A	$0	715,031(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. 25% of the RSUs will vest on March 15, 2027, and the remaining RSUs will vest in 12 quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date. Each vesting event will occur on the 15th day of the applicable vesting month, or, if not a business day, the next business day.

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.

4. Represents performance-based RSUs ("PRSUs") based upon two metrics: Annual recurring revenue compounded annual growth rate for the years 2026-2028 (70% weighted) and FY 2028 GAAP profitability (30% weighted). Actual payouts may represent 50% to 200% of granted value. These PRSUs will fully vest upon certification of the actual payouts by the Issuer's Compensation Committee after the performance period ends.

	/s/ Brian Michael Brown, Attorney-in-Fact	03/18/2026
	** 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)

FAQ

What insider transaction did AvePoint (AVPT) report for CFO Caci James?

AvePoint reported that CFO Caci James received equity awards covering 294,677 shares of common stock on March 13, 2026. These were granted as RSUs and PRSUs under the 2021 Equity Incentive Plan, increasing her direct holdings to 715,031 shares after the transactions.

How are the new AvePoint (AVPT) RSUs granted to the CFO scheduled to vest?

For one RSU grant to the CFO, 25% will vest on March 15, 2027. The remaining RSUs will vest in 12 quarterly installments after that date, provided she continues serving AvePoint on each vesting date, with vesting occurring on the 15th of the applicable month.

What performance metrics determine AvePoint (AVPT) CFO PRSU payouts?

The CFO’s PRSUs are based on two metrics from 2026–2028: annual recurring revenue compounded annual growth rate (70% weight) and fiscal 2028 GAAP profitability (30% weight). Actual payouts may range from 50% to 200% of the granted value, depending on performance.

When will AvePoint (AVPT) CFO performance-based RSUs fully vest?

The performance-based RSUs for AvePoint’s CFO will fully vest after the company’s Compensation Committee certifies actual payout results. This certification occurs once the performance period covering 2026–2028 ends and the committee confirms outcomes for revenue growth and GAAP profitability.

What does the Form 4 say about AvePoint (AVPT) CFO’s total share holdings after the grants?

Following the reported RSU and PRSU grants, AvePoint’s CFO directly holds 715,031 shares of common stock. This figure includes non-RSU shares and both vested and unvested RSUs subject to vesting schedules disclosed in this and earlier Form 4 filings with the SEC.

Are AvePoint (AVPT) CFO RSUs granted at a purchase price or for free?

The reported RSU and PRSU awards to AvePoint’s CFO show a transaction price of $0.0000 per share. This indicates they are compensation grants, not open-market purchases, and are received without cash payment, subject to performance and service-based vesting conditions.