AvePoint CLO has 6,885 shares withheld for taxes

AvePoint, Inc. (AVPT) reported that Chief Legal Officer and director Brian Michael Brown had company shares withheld in connection with equity compensation vesting.

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) reported that Chief Legal Officer and director Brian Michael Brown had company shares withheld in connection with equity compensation vesting. On September 11, 2026, 5,010 shares of common stock were withheld at $12.66 per share, and on September 14, 2026, 1,875 shares were withheld at $13.60 per share. According to the disclosure, these exempt transactions satisfied exercise price or income tax withholding obligations through net settlement under Rule 16b-3 and did not represent discretionary open‑market sales by Brown.

Insider Trade Summary

Exercise Price or Tax Liability: 6,885 shares

Exercise Price or Tax Liability 2 txns

Insider Brown Brian Michael

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1, F2, F3	1,875	$13.60	$26K
Exercise Price or Tax Liability	Common Stock F1, F2, F3	5,010	$12.66	$63K

Holdings After Transaction: Common Stock — 339,643 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

Shares withheld September 11, 2026: 5,010 shares Price per share September 11, 2026: $12.66 per share Shares withheld September 14, 2026: 1,875 shares +2 more

5 metrics

Shares withheld September 11, 2026 5,010 shares Common stock withheld to satisfy exercise price or tax liability

Price per share September 11, 2026 $12.66 per share Withholding price for 5,010 AvePoint common shares

Shares withheld September 14, 2026 1,875 shares Common stock withheld to satisfy exercise price or tax liability

Price per share September 14, 2026 $13.60 per share Withholding price for 1,875 AvePoint common shares

Total shares withheld for tax/exercise 6,885 shares Aggregate shares across both exempt net‑settlement transactions

Key Terms

restricted stock units, RSU, Rule 16b-3, net settlement, +2 more

6 terms

restricted stock units financial

"This security represents the Issuer's common stock as well as restricted stock units"

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"

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

"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.

net settlement financial

"in connection with the net settlement of the securities"

income tax withholding financial

"withheld by the Issuer to satisfy its income tax withholding and remittance obligations"

Equity Incentive Plan financial

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

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

FAQ

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

What did AvePoint (AVPT) disclose in this Form 4 for Brian Michael Brown?

AvePoint reported that Chief Legal Officer Brian Michael Brown had 6,885 shares of common stock withheld in two exempt transactions to satisfy exercise price or income tax withholding obligations related to equity awards, rather than selling shares in the open market.

How many AvePoint (AVPT) shares were involved in each transaction?

On September 11, 2026, 5,010 shares of AvePoint common stock were withheld at $12.66 per share. On September 14, 2026, an additional 1,875 shares were withheld at $13.60 per share, for a total of 6,885 shares across both transactions.

Were the AvePoint (AVPT) Form 4 transactions discretionary sales by the insider?

No. The filing states the transactions are exempt and that the shares were withheld by AvePoint to satisfy exercise price or tax liability in a net settlement, and that this does not represent a discretionary transaction by Brian Michael Brown.

Were the AvePoint (AVPT) share withholdings related to restricted stock units (RSUs)?

Yes. Footnotes explain that the holdings include restricted stock units (RSUs) granted under AvePoint’s 2021 Equity Incentive Plan, with each RSU representing a contingent right to receive one share of AvePoint common stock upon vesting.

Were Brian Michael Brown’s AvePoint (AVPT) transactions under a Rule 10b5-1 trading plan?

No Rule 10b5-1 trading plan is reported. The Form 4 describes the transactions as exempt with shares withheld by AvePoint to satisfy exercise price or tax withholding obligations in connection with equity awards.

Does the Form 4 show Brian Michael Brown’s total AvePoint (AVPT) holdings after these transactions?

No specific post‑transaction share count is provided for these entries. A footnote states that the reported holdings include both non‑RSU common stock and vested and unvested RSUs subject to previously disclosed vesting schedules.

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

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Available on EDGAR 09/15/2026 - 04:52 PM Accepted by SEC EDGAR 09/15/2026 - 04:52 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^*

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)
09/11/2026

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)	09/11/2026		F		5,010(2)	D	$12.66	341,518(3)	D
Common Stock(1)	09/14/2026		F		1,875(2)	D	$13.6	339,643(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	09/15/2026
	** 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)