AvePoint CFO reports tax-withholding share dispositions

AvePoint, Inc. Chief Financial Officer Caci James reported tax-related share dispositions tied to equity compensation.

Rhea-AI Filing Summary

AvePoint, Inc. Chief Financial Officer Caci James reported tax-related share dispositions tied to equity compensation. On June 5, 2026, a total of 5,714 shares of common stock were withheld at $10.74 per share to satisfy income tax obligations on vested awards, as described as an exempt transaction under Rule 16b-3. These withholdings were not discretionary market sales by the executive, and James continues to hold 706,494 shares of AvePoint common stock directly, including both non-RSU shares and vested and unvested RSUs.

Insider Trade Summary

Exercise Price or Tax Liability: 5,714 shares

Exercise Price or Tax Liability 3 txns

Insider Caci James

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	3,957	$10.74	$42K
Exercise Price or Tax Liability	Common Stock	1,369	$10.74	$15K
Exercise Price or Tax Liability	Common Stock	388	$10.74	$4K

Holdings After Transaction: Common Stock — 706,494 shares (Direct)

Footnotes (3)

1. 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.
2. 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.
3. 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: 5,714 shares Tax-withholding price: $10.74 per share Post-transaction holdings: 708,251 shares

3 metrics

Tax-withheld shares 5,714 shares Common stock withheld for tax obligations on June 5, 2026

Tax-withholding price $10.74 per share Price applied to withheld AvePoint common shares

Post-transaction holdings 708,251 shares Direct holdings after reported transactions, including RSUs

Key Terms

restricted stock units (each, an "RSU"), 2021 Equity Incentive Plan, Rule 16b-3, net settlement, +1 more

5 terms

restricted stock units (each, an "RSU") financial

"This security represents the Issuer's common stock as well as restricted stock units (each, an "RSU") granted to the Reporting Person"

2021 Equity Incentive Plan financial

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

Rule 16b-3 regulatory

"issued in accordance with Rule 16b-3. The shares reported as disposed of in this Form 4 represent the number of shares"

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.

net settlement financial

"withholding and remittance obligations in connection with the net settlement of the securities and does not represent a discretionary transaction"

income tax withholding and remittance obligations financial

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

FAQ

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

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

AvePoint CFO Caci James reported tax-related dispositions of 5,714 shares of common stock. The shares were withheld by the company at $10.74 per share to cover income tax obligations arising from vested equity awards, rather than being sold in open-market trades.

Were the AvePoint (AVPT) CFO’s Form 4 transactions open-market sales?

No, the reported transactions were exempt tax-withholding dispositions under Rule 16b-3, not open-market sales. AvePoint withheld 5,714 shares to satisfy income tax and remittance obligations from net settlement of equity awards, and they are not considered discretionary trading by the CFO.

How many AvePoint (AVPT) shares does CFO Caci James hold after this Form 4?

After the reported tax-withholding transactions, CFO Caci James directly holds 708,251 AvePoint common shares. This figure includes both non-RSU stock and aggregate vested and unvested RSUs granted under the company’s 2021 Equity Incentive Plan, subject to their existing vesting schedules.

What price was used for the AvePoint (AVPT) tax-withholding share dispositions?

The tax-withholding dispositions were reported at a price of $10.74 per share. This price applied to all 5,714 AvePoint common shares withheld by the issuer to meet income tax withholding and remittance obligations related to the net settlement of equity-based compensation awards.

What does Rule 16b-3 mean for AvePoint (AVPT) CFO’s reported transactions?

The filing notes the dispositions are exempt under Rule 16b-3, which covers certain insider transactions tied to compensatory awards. Here, AvePoint withheld shares to pay exercise or tax liabilities from equity awards, classifying the event as administrative tax settlement rather than discretionary trading activity by the CFO.

How are restricted stock units (RSUs) reflected in the AvePoint (AVPT) Form 4?

The Form 4 explains that the reported security includes AvePoint common stock and RSUs granted under the 2021 Equity Incentive Plan. Each RSU gives the right to receive one share upon vesting, and the total post-transaction holdings include both vested and unvested RSUs.

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

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Accepted by SEC EDGAR 06/09/2026 - 06:29 PM Learn about SEC filing dates

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)
06/05/2026

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)	06/05/2026		F		3,957(2)	D	$10.74	708,251(3)	D
Common Stock(1)	06/05/2026		F		1,369(2)	D	$10.74	706,882(3)	D
Common Stock(1)	06/05/2026		F		388(2)	D	$10.74	706,494(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. 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	06/09/2026
	** 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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* Form 4: SEC 1474 (03-26)