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

AvePoint (AVPT) CLO transfers 4,094 shares for equity tax withholding

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

Rhea-AI Filing Summary

AvePoint, Inc. reported that Chief Legal Officer Brian Michael Brown had shares of common stock withheld to cover tax obligations tied to equity awards. On June 5, 2026, a total of 4,094 shares of common stock were disposed of at $10.74 per share in three transactions coded "F" for tax-withholding dispositions. The filing explains these were exempt transactions used to satisfy income tax withholding on vested securities under the 2021 Equity Incentive Plan and were not discretionary market sales. Brown continues to hold AvePoint common stock and restricted stock units following these withholding events.

Positive

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Negative

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Insider Brown Brian Michael
Role Chief Legal Officer
Type Security Shares Price Value
Tax Withholding Common Stock 2,835 $10.74 $30K
Tax Withholding Common Stock 981 $10.74 $11K
Tax Withholding Common Stock 278 $10.74 $3K
Holdings After Transaction: Common Stock — 817,316 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-withheld shares (transaction 1) 278 shares at $10.74 Common Stock, code F tax-withholding disposition on June 5, 2026
Tax-withheld shares (transaction 2) 981 shares at $10.74 Common Stock, code F tax-withholding disposition on June 5, 2026
Tax-withheld shares (transaction 3) 2,835 shares at $10.74 Common Stock, code F tax-withholding disposition on June 5, 2026
Total tax-withholding shares 4,094 shares Aggregate tax-withholding dispositions reported in Form 4
restricted stock units financial
"This security represents the Issuer's common stock as well as restricted stock units (each, an "RSU") granted"
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"
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
"security issued in accordance with Rule 16b-3. The shares reported as disposed of"
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.
tax-withholding disposition financial
"transaction consisting of the payment of exercise price or tax liability by delivering or withholding securities"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
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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)
06/05/2026		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)06/05/2026F2,835(2)D$10.74817,316(3)D
Common Stock(1)06/05/2026F981(2)D$10.74816,335(3)D
Common Stock(1)06/05/2026F278(2)D$10.74816,057(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 Brown06/09/2026
** 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

How many AvePoint (AVPT) shares were used for tax withholding in Brian Brown’s Form 4?

The Form 4 reports a total of 4,094 AvePoint common shares used for tax withholding. These shares were withheld by the company in three separate transactions, representing shares applied to satisfy income tax obligations on vested equity awards.

At what price were Brian Brown’s AvePoint (AVPT) shares valued for the tax-withholding dispositions?

Each reported tax-withholding disposition used a price of $10.74 per AvePoint share. This valuation was applied across three separate transactions in the Form 4, reflecting how many shares were needed to meet the related tax liability.

Does Brian Brown’s AvePoint (AVPT) Form 4 indicate open-market sales of stock?

No, the Form 4 specifies exempt transactions coded “F” for tax-withholding disposition. Footnotes state the shares were withheld by AvePoint to satisfy income tax obligations and do not represent discretionary market sales by Brian Brown.

What role do restricted stock units (RSUs) play in Brian Brown’s AvePoint (AVPT) holdings?

The filing notes Brown’s holdings include both AvePoint common stock and RSUs granted under the 2021 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon vesting, contributing to his ongoing equity exposure.

What does transaction code “F” mean in Brian Brown’s AvePoint (AVPT) Form 4?

Transaction code “F” indicates payment of exercise price or tax liability by delivering or withholding securities. In this Form 4, it means AvePoint withheld common shares from Brian Brown’s vested equity to meet required income tax withholding obligations.