AVPT Form 4: CFO Withholds 2,823 Shares to Cover RSU Taxes

Rhea-AI Filing Summary

Caci James, AvePoint (AVPT) Chief Financial Officer, reported a withholding of 2,823 shares on 09/19/2025 at a price of $15.67 per share to satisfy tax obligations related to vested restricted stock units (RSUs). The filing states this was an exempt, non‑discretionary transaction consisting of delivery/withholding of shares to pay taxes in connection with RSU vesting. Following the transaction, the reporting person beneficially owns 210,207 shares, which includes vested and unvested RSUs held under previously reported grant schedules.

Positive

• Reporting person retains substantial ownership: 210,207 shares beneficially owned after the transaction
• Transaction was exempt non‑discretionary withholding: Shares were withheld to satisfy tax obligations related to RSU vesting, not a market sale

Negative

• Shares reduced by withholding: 2,823 shares were disposed of to cover taxes, modestly lowering the reporting person's stake
• Limited detail on composition: Filing references aggregate vested and unvested RSUs but does not provide a breakdown of vested versus unvested amounts

Insights

Corporate Governance Expert

TL;DR: Routine tax withholding of vested RSUs by the CFO, not a discretionary sale; maintains substantial ownership.

This Form 4 documents an administrative withholding of shares to satisfy tax liabilities arising from RSU vesting. Because the transaction is characterized as exempt and non‑discretionary, it does not indicate a voluntary divestiture or change in intent by the officer. The remaining beneficial ownership of 210,207 shares suggests continued alignment with shareholders, though investors should monitor future insider activity for any pattern of discretionary sales.

Equity Analyst

TL;DR: Small share withholding relative to total holdings; limited direct market impact.

The disposal of 2,823 shares represents a tax withholding related to RSU vesting rather than an open‑market sale. At the reported price of $15.67, the transaction size is modest relative to the total reported beneficial ownership. This type of filing is common following equity compensation vesting and is unlikely to materially affect the company’s market capitalization or signal a change in executive outlook.

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^*

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)
09/19/2025

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		2,823(2)	D	$15.67	210,207(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	09/23/2025
	** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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FAQ

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

The filing reports an exempt withholding of 2,823 shares on 09/19/2025 to satisfy tax obligations related to RSU vesting.

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

The reporting person beneficially owns 210,207 shares following the reported transaction, including vested and unvested RSUs.

Was this a voluntary open‑market sale?

No. The Form 4 describes an exempt, non‑discretionary transaction consisting of share withholding to pay taxes on vested RSUs.

What price was reported for the withheld shares?

The withholding was reported at a price of $15.67 per share.

Does the filing indicate any change in officer status or role?

No. The filing identifies Caci James as Chief Financial Officer and does not report any change in role or status.