AvePoint CFO RSU Tax-Withholding Reduces Shares to 668,493

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) Chief Financial Officer Caci James reported a tax-withholding disposition of company shares tied to RSU vesting. The Form 4 shows a disposition of 6,120 common shares on 09/12/2025 at a price of $15.61 per share, described as withholding to satisfy income tax obligations related to net settlement of restricted stock units. After the transaction the reporting person beneficially owns 668,493 shares, which includes both non-RSU common stock and aggregate vested and unvested RSUs held under previously disclosed vesting schedules. The filing is signed by an attorney-in-fact on behalf of the reporting person.

Positive

• Timely disclosure of the insider transaction on Form 4 showing compliance with reporting requirements
• Substantial remaining beneficial ownership reported at 668,493 shares, indicating continued insider stake

Negative

• Disposition of 6,120 shares (withheld for taxes) reduced the reporting person's share count

Insights

Securities Analyst

TL;DR: Routine RSU net-settlement tax withholding by the CFO; disclosure confirms continued sizable ownership.

The Form 4 documents a common and routine exempt transaction: 6,120 shares were withheld at $15.61 to satisfy tax-withholding obligations arising from RSU vesting. Because this was a withholding to cover taxes (per the filing), it is not a discretionary sale and therefore has limited information about intent. The filing reports total beneficial ownership of 668,493 shares, combining non-RSU stock and both vested and unvested RSUs previously reported. For investors, the transaction is operational (tax-related) rather than a signal of active selling; materiality is low but the disclosed ownership level remains relevant for insider alignment.

Corporate Governance Expert

TL;DR: Proper Form 4 disclosure of RSU withholding shows compliance; no governance red flags in the filing.

The Form 4 explains the disposition as an exempt transaction under Rule 16b-3 where shares are withheld to satisfy tax liabilities on RSU vesting. The filing cites prior Form 4s that established vesting schedules, indicating consistent reporting. The signature by an attorney-in-fact is noted and the transaction date and price are provided. This is a routine insider reporting event reflecting compensation settlement and appropriate SEC disclosure practices rather than a governance concern.

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

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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).

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)
09/12/2025

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)	09/12/2025		F		6,120(2)	D	$15.61	668,493(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 and March 18, 2025.

	/s/ Brian Michael Brown, Attorney-in-Fact	09/16/2025
	** 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).
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FAQ

What did AVPT CFO Caci James report on Form 4?

Caci James reported a disposition of 6,120 common shares on 09/12/2025 related to tax withholding for RSU vesting.

Why were the 6,120 AVPT shares disposed of?

The filing states the shares were withheld by the issuer to satisfy income tax withholding and remittance obligations incident to net settlement of RSUs.

How many AVPT shares does the reporting person own after the transaction?

The Form 4 reports beneficial ownership of 668,493 shares, including non-RSU common stock and vested/unvested RSUs.

What price was used for the withheld AVPT shares?

The disposition price reported on the Form 4 is $15.61 per share.

Does the Form 4 indicate a discretionary sale by the CFO?

No. The filing describes the transaction as an exempt withholding for tax obligations, not a discretionary sale by the reporting person.