CFO stock award and tax withholding at AvePoint (AVPT) detailed

Rhea-AI Filing Summary

AvePoint, Inc. Chief Financial Officer Caci James reported a stock compensation event involving common shares. On March 5, 2026, James received a grant or award of 17,775 shares of common stock at $11.29 per share, tied to performance-based restricted stock units under AvePoint’s 2021 Equity Incentive Plan.

On the same date, 18,005 shares of common stock at $11.29 per share were automatically withheld by AvePoint to cover income tax obligations related to the vesting or net settlement of these securities, an exempt, non-discretionary transaction. After these transactions, James directly owned 436,540 shares of AvePoint common stock, including both non-RSU shares and vested and unvested RSUs previously reported.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Caci James

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	17,775	$11.29	$201K
Tax Withholding	Common Stock	18,005	$11.29	$203K

Holdings After Transaction: Common Stock — 454,545 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. Represents the additional shares of the Issuer's common stock to be received by the Reporting Person based on the performance conditions of the performance-based RSUs ("PRSUs") previously reported on the Form 4 filed with the Securities and Exchange Commission on March 18, 2025. Future vesting of the PRSUs is subject to their performance conditions as well as continuous employment by the Reporting Person. 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. 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.

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

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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 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)
03/05/2026

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)	03/05/2026		A		17,775(2)	A	$11.29	454,545(3)	D
Common Stock(1)	03/05/2026		F		18,005(4)	D	$11.29	436,540(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. Represents the additional shares of the Issuer's common stock to be received by the Reporting Person based on the performance conditions of the performance-based RSUs ("PRSUs") previously reported on the Form 4 filed with the Securities and Exchange Commission on March 18, 2025. Future vesting of the PRSUs is subject to their performance conditions as well as continuous employment 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 and March 18, 2025.

4. 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.

	/s/ Brian Michael Brown, Attorney-in-Fact	03/09/2026
	** 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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FAQ

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

AvePoint CFO Caci James reported one stock grant and one tax-related share withholding on March 5, 2026. The filing reflects equity compensation activity and related tax settlement, not an open-market purchase or discretionary sale of AvePoint common stock.

How many AvePoint (AVPT) shares were granted to the CFO?

Caci James was granted 17,775 shares of AvePoint common stock at $11.29 per share. These shares relate to performance-based restricted stock units under the company’s 2021 Equity Incentive Plan, contingent on meeting performance conditions and continued employment over time.

Why were some AvePoint (AVPT) shares disposed of in this Form 4?

The 18,005 AvePoint shares reported as disposed were withheld by the company to satisfy income tax withholding obligations. This exempt transaction under Rule 16b-3 is not a discretionary sale but part of the automatic net settlement of equity awards upon vesting.

What is Caci James’s AvePoint (AVPT) share ownership after these transactions?

Following the March 5, 2026 transactions, Caci James directly owned 436,540 AvePoint common shares. This figure includes regular common stock plus vested and unvested restricted stock units previously disclosed in earlier Form 4 filings across several prior grant dates.

Are the AvePoint (AVPT) shares in this Form 4 performance-based?

Yes, the additional shares relate to performance-based restricted stock units, or PRSUs, previously reported. Future vesting depends on the PRSUs’ performance conditions and Caci James’s continued employment with AvePoint, as described in the filing’s explanatory footnotes.