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  4. [Form 4] AvePoint, Inc. Insider Trading Activity

AvePoint (AVPT) CLO has shares withheld to cover equity award taxes

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

AvePoint, Inc. reported a routine insider tax-withholding event involving its Chief Legal Officer, Brian Michael Brown. On June 12, 2026, a total of 6,885 shares of AvePoint common stock were disposed of at $10.87 per share in two transactions coded "F." According to the disclosure, these shares were withheld by the company to satisfy income tax obligations tied to the vesting or settlement of equity awards granted under AvePoint's 2021 Equity Incentive Plan, in an exempt transaction under Rule 16b-3. The filing notes that this represents payment of tax liability by delivering or withholding securities and does not represent a discretionary market transaction by the reporting person.

Positive

  • None.

Negative

  • None.
Insider Brown Brian Michael
Role Chief Legal Officer
Type Security Shares Price Value
Tax Withholding Common Stock 5,010 $10.87 $54K
Tax Withholding Common Stock 1,875 $10.87 $20K
Holdings After Transaction: Common Stock — 811,047 shares (Direct, null)
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. 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. 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.
Tax-withholding shares 6,885 shares Common stock withheld to cover tax obligations on June 12, 2026
First tax-withholding block 1,875 shares Disposition of common stock coded F at $10.87 per share
Second tax-withholding block 5,010 shares Disposition of common stock coded F at $10.87 per share
Implied price per share $10.87 per share Price used for both F-code tax-withholding dispositions
Tax-withholding transactions 2 transactions Both coded F as payment of tax liability by withholding shares
Dispose events 2 dispose entries Transaction summary shows two dispose events, all tax withholding
restricted stock units financial
"This security represents the Issuer's common stock as well as restricted stock units (each, an "RSU") granted to the Reporting Person"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
RSU financial
"Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock."
Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.
Rule 16b-3 regulatory
"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."
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.
2021 Equity Incentive Plan financial
"RSUs granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan."
net settlement financial
"withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the securities"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chief Legal Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/12/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock(1)06/12/2026F5,010(2)D$10.87811,047(3)D
Common Stock(1)06/12/2026F1,875(2)D$10.87809,172(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 Brown06/16/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AvePoint (AVPT) disclose for Brian Michael Brown?

AvePoint disclosed that Chief Legal Officer Brian Michael Brown had 6,885 shares of common stock withheld on June 12, 2026. The disposition covered income tax obligations triggered by the vesting or settlement of equity awards, and was classified as an exempt Rule 16b-3 transaction.

Was the AvePoint (AVPT) insider transaction an open-market sale?

No, the AvePoint transaction was not an open-market sale. The filing states the 6,885 shares were withheld by the issuer to pay income tax liabilities from equity award vesting, described as a non-discretionary, exempt transaction under Rule 16b-3 rather than a voluntary stock sale.

How many AvePoint (AVPT) shares were used for tax withholding in this Form 4?

The Form 4 reports that a total of 6,885 AvePoint common shares were disposed of through withholding. These came from two tax-withholding transactions of 1,875 and 5,010 shares, each priced at $10.87 per share, related to equity awards granted to the Chief Legal Officer.

What does transaction code "F" mean in the AvePoint (AVPT) Form 4?

In this AvePoint filing, code "F" indicates payment of exercise price or tax liability by delivering or withholding securities. The company withheld 6,885 shares at $10.87 per share to satisfy income tax obligations from the vesting or settlement of stock-based awards, not a market trade.

Which AvePoint (AVPT) equity plan is referenced in Brian Michael Brown’s Form 4?

The Form 4 references AvePoint’s 2021 Equity Incentive Plan. It explains that the reported securities include common stock and restricted stock units granted under this plan, where each RSU represents a contingent right to receive one share of AvePoint common stock upon vesting of the award.

Does the AvePoint (AVPT) Form 4 include restricted stock units (RSUs)?

Yes, the filing notes that the reported security includes both non-RSU common stock and RSUs. Each RSU represents a contingent right to receive one AvePoint common share upon vesting, under grants made pursuant to the company’s 2021 Equity Incentive Plan and prior Form 4 disclosures.