What triggered the AvePoint CFO’s tax-withholding share dispositions?

The dispositions were triggered by the receipt, exercise, or vesting of equity awards issued under Rule 16b-3. When these securities settled, AvePoint withheld common shares from CFO Caci James to cover the associated income tax liabilities, as described in the Form 4 footnotes.

AvePoint (AVPT) CFO has shares withheld for taxes on equity awards

Filing Impact

(High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

AvePoint, Inc. Chief Financial Officer Caci James reported routine tax-withholding dispositions of company stock. On March 13, 2026, a total of 16,186 shares of common stock were withheld at $10.43 per share to satisfy income tax obligations tied to equity awards.

The footnotes explain these are exempt transactions where the issuer withheld shares to cover taxes on vested or settled securities under the 2021 Equity Incentive Plan, and they do not represent discretionary trades by James. After these withholdings, James directly holds 420,354 shares of AvePoint common stock, including both common shares and restricted stock units.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Caci James

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock	6,120	$10.43	$64K
Tax Withholding	Common Stock	10,066	$10.43	$105K

Holdings After Transaction: Common Stock — 430,420 shares (Direct)

Footnotes (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 and March 18, 2025.

Form 4 Insider Transactions: What Each Field Means →

03/17/2026 - 07:54 PM

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

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)
03/13/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock⁽¹⁾	03/13/2026		F		6,120⁽²⁾	D	$10.43	430,420⁽³⁾	D
Common Stock⁽¹⁾	03/13/2026		F		10,066⁽²⁾	D	$10.43	420,354⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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	03/17/2026
	** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did AvePoint (AVPT) CFO Caci James report in this Form 4?

AvePoint CFO Caci James reported tax-withholding dispositions of company stock. A total of 16,186 common shares were withheld by AvePoint to cover income tax obligations arising from equity awards, rather than being sold in the open market.

How many AvePoint shares were withheld for taxes and at what price?

AvePoint withheld 16,186 common shares from CFO Caci James to satisfy tax obligations. The withholding occurred at a price of $10.43 per share, in two transactions of 6,120 shares and 10,066 shares, both dated March 13, 2026.

Does this AvePoint Form 4 show the CFO selling shares on the market?

No, the Form 4 describes exempt tax-withholding dispositions, not open-market sales. Footnotes state the issuer withheld shares to satisfy income tax withholding and remittance obligations on vested or settled securities, and that the transaction was not a discretionary trade by the CFO.

How many AvePoint shares does CFO Caci James hold after these transactions?

After the tax-withholding transactions, CFO Caci James directly holds 420,354 AvePoint common shares. This figure includes both non-RSU common stock and vested and unvested restricted stock units subject to previously disclosed vesting schedules under the company’s 2021 Equity Incentive Plan.

How are restricted stock units treated in the AvePoint CFO’s holdings?

The holdings reported for CFO Caci James include both common stock and restricted stock units. Each RSU represents the contingent right to receive one share of AvePoint common stock upon vesting, and both vested and unvested RSUs are counted in the reported post-transaction total.