AvePoint (AVPT) CLO awarded RSUs and exercises stock options with no sales

Rhea-AI Filing Summary

AvePoint, Inc. Chief Legal Officer Brian Michael Brown reported equity awards and an option exercise with no share sales. On March 16, 2026, he acquired 142,586 and 47,529 shares of common stock as grants at $0.00 per share, representing a mix of time-based RSUs and performance-based RSUs under company incentive plans. The time-based RSUs vest 25% on March 15, 2027, with the remainder vesting in 12 quarterly installments, subject to continued service. The performance-based RSUs depend on 2026–2028 annual recurring revenue growth and 2028 GAAP profitability, with payouts between 50% and 200% of the granted value. On March 17, 2026, he exercised options for 1,803 shares of common stock at an exercise price of $1.34 per share. Following these transactions, Brown directly holds 821,724 shares of common stock and 2,263,299 options to purchase common stock.

Insider Trade Summary

1,803 shares exercised/converted

Mixed 4 txns

Insider Brown Brian Michael

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	1,803	$0.00	--
Exercise	Common Stock	1,803	$0.00	--
Grant/Award	Common Stock	142,586	$0.00	--
Grant/Award	Common Stock	47,529	$0.00	--

Holdings After Transaction: Stock Option (Right to Buy) — 2,263,299 shares (Direct); Common Stock — 821,724 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. 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. 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. 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. This security represents options to purchase the Issuer's common stock granted to the Reporting Person under the Issuer's 2016 Equity Incentive Plan that have been exercised.

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^*

Brown Brian Michael

(Last) (First) (Middle)

C/O AVEPOINT, INC.

901 E BYRD ST, SUITE 900

(Street)

RICHMOND VIRGINIA 23219

(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)
	Chief Legal 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)	03/16/2026		A		142,586(2)	A	$0	772,392(3)	D
Common Stock(1)	03/16/2026		A		47,529(4)	A	$0	819,921(3)	D
Common Stock(1)	03/17/2026		M		1,803	A	$0	821,724(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
Stock Option (Right to Buy)(5)	$1.34	03/17/2026		M			1,803	07/01/2020	07/01/2026	Common Stock	1,803	$0	2,263,299	D

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.

5. This security represents options to purchase the Issuer's common stock granted to the Reporting Person under the Issuer's 2016 Equity Incentive Plan that have been exercised.

	/s/ Brian Michael Brown	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 transactions did AvePoint (AVPT) Chief Legal Officer Brian Michael Brown report?

Brian Michael Brown reported equity grants and an option exercise, with no sales. He received two stock awards totaling 190,115 shares on March 16, 2026, and exercised options for 1,803 shares on March 17, 2026, all as direct beneficial owner.

Were the AvePoint (AVPT) insider transactions open-market buys or sales?

The reported AvePoint transactions were equity grants and an option exercise, not open‑market trades. All four entries are coded as acquisitions (A and M), reflect compensation and option exercise activity, and show no open‑market purchases or sales of AvePoint common stock.

How many AvePoint (AVPT) shares does Brian Michael Brown own after these Form 4 transactions?

After these transactions, Brian Michael Brown directly holds 821,724 shares of AvePoint common stock. He also holds 2,263,299 options to purchase additional shares, reflecting his combined position from non‑RSU stock, vested RSUs, unvested RSUs, and exercised options reported.

What are the vesting terms of Brian Michael Brown’s new AvePoint (AVPT) RSU awards?

The time‑based RSUs vest 25% on March 15, 2027, with the remaining 75% vesting in 12 quarterly installments thereafter. Vesting requires Brown’s continued service on each vesting date, and each vested RSU converts into one share of AvePoint common stock.

How are AvePoint (AVPT) performance-based RSUs for Brian Michael Brown structured?

The performance-based RSUs are tied to 2026‑2028 annual recurring revenue compounded annual growth rate and 2028 GAAP profitability. These metrics are weighted 70% and 30% respectively, and actual payouts can range from 50% to 200% of the granted value after Compensation Committee certification.

At what price did Brian Michael Brown exercise his AvePoint (AVPT) stock options?

Brian Michael Brown exercised options to acquire 1,803 shares of AvePoint common stock at an exercise price of $1.34 per share. The Form 4 notes these options were originally granted under AvePoint’s 2016 Equity Incentive Plan and have now been exercised.