AvePoint (AVPT) Insider Exercise: 30,000 Shares Acquired, Tax Withholding Reported

Rhea-AI Filing Summary

AvePoint, Inc. (AVPT) Form 4 summary: The company’s Chief Legal Officer and director, Brian Michael Brown, reported two transactions in September 2025. On 09/19/2025 he had 1,547 shares disposed at $15.67 each, identified as withholding of shares to satisfy tax obligations upon vesting. On 09/22/2025 he reported a 30,000-share acquisition tied to the exercise of stock options (exercise price $1.3357) with a reported price of $15.75. Following these transactions, the filing shows 668,741 shares of common stock directly held and an aggregate beneficial ownership of 2,286,102 shares (including derivative securities and RSUs).

Positive

• 30,000-share option exercise completed on 09/22/2025 under the 2016 Equity Incentive Plan
• Substantial aggregate beneficial ownership reported: 2,286,102 shares (includes common stock and derivative securities)

Negative

• 1,547 shares disposed on 09/19/2025 via withholding to satisfy tax obligations
• No cash proceeds or open-market sales disclosed beyond tax-withholding share disposition

Insights

Securities Analyst

TL;DR: Routine insider option exercise and tax withholding; no material change in control.

The Form 4 discloses a non-discretionary tax withholding of 1,547 common shares and the exercise-related acquisition of 30,000 shares via stock options with a $1.3357 exercise price executed on 09/22/2025. These are routine Section 16 transactions tied to equity compensation plans. The reporting person retains substantial direct and indirect holdings (2,286,102 shares aggregate), indicating ongoing insider ownership but the filing does not disclose any sales for cash proceeds beyond withholding for taxes.

Corporate Governance Expert

TL;DR: Disclosure aligns with Rule 16 reporting; transactions appear to result from equity plan mechanics.

The filing clearly states the withheld shares were used to satisfy tax withholding obligations under Rule 16b-3 and that the 30,000-share acquisition was from exercised options granted under the company’s 2016 plan. The Form 4 lists the filer as both an officer (Chief Legal Officer) and director, and provides vesting/plan references for RSUs and options previously reported. No amendments or corrections are indicated and signatures are present, meeting basic governance disclosure requirements.

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).

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 VA 23219

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Legal Officer

3. Date of Earliest Transaction (Month/Day/Year)
09/19/2025

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)	09/19/2025		F		1,547(2)	D	$15.67	638,741	D
Common Stock(1)	09/22/2025		M		30,000(3)	A	$15.75	668,741(4)	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)	$1.3357	09/22/2025		M			30,000	07/01/2020	07/01/2026	Common Stock	30,000	$0	2,286,102	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. 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. 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.

4. 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	09/23/2025
	** 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 transactions did Brian Michael Brown report on the AVPT Form 4?

The filer reported a 1,547-share disposition on 09/19/2025 (withheld to satisfy taxes) and a 30,000-share acquisition on 09/22/2025 via option exercise.

What was the exercise price and terms for the options exercised?

The derivative table shows a $1.3357 exercise price for the stock option exercised, with the option exercisable and expiring per the original grant dates.

How many shares does the reporting person beneficially own after these transactions?

The filing reports 668,741 shares of common stock directly held and an aggregate beneficial ownership of 2,286,102 shares including derivative securities and RSUs.

Why were 1,547 shares disposed of on 09/19/2025?

The filing states those shares were withheld by the issuer to satisfy income tax withholding obligations in connection with net settlement of vested securities.

Under which equity plans were these awards and options granted?

RSUs are reported under the 2021 Equity Incentive Plan and the exercised options were granted under the 2016 Equity Incentive Plan.