AvePoint, Inc. Form 4 Filings

AvePoint, Inc. (AVPT) reported that Executive Chairman and director Gong Xunkai had 3,137 shares of common stock withheld on September 11, 2026 to pay exercise price or tax liability in connection with RSU vesting under the 2021 Equity Incentive Plan, an exempt, non-discretionary transaction. After this withholding, he holds 1,861,171 shares of common stock and RSUs in total.

AvePoint, Inc. (AVPT) reported that Chief Financial Officer Caci James had shares of Common Stock withheld in two exempt transactions to cover tax obligations tied to equity awards. On September 11, 2026, 6,120 shares were withheld at $12.66 per share, and on September 14, 2026, 2,517 shares were withheld at $13.60 per share. Footnotes state these dispositions were for the issuer’s income tax withholding and remittance obligations in connection with net settlement of restricted stock units and do not represent discretionary trades, and that the holdings include both non-RSU common stock and vested and unvested RSUs granted under the 2021 Equity Incentive Plan. No Rule 10b5-1 trading plan is reported.

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.

AvePoint, Inc. (AVPT) director and Chief Executive Officer Tianyi Jiang reported two exempt transactions on September 4, 2026, in which a total of 4,390 shares of common stock were disposed of to pay exercise price or tax liability by delivering or withholding securities in connection with vested equity awards. Footnotes state the shares were withheld by AvePoint to satisfy income tax withholding and remittance obligations in a net settlement under the 2021 Equity Incentive Plan and do not represent discretionary market transactions. No Rule 10b5-1 trading plan is reported.

AvePoint, Inc. (AVPT) reported that Executive Chairman Gong Xunkai had a total of 4,724 shares of common stock withheld on September 4, 2026 in two exempt transactions. These code F transactions were shares withheld to pay exercise price or income tax liabilities upon vesting or settlement of awards under the 2021 Equity Incentive Plan, and are not described as discretionary sales.

AvePoint, Inc. (AVPT) reported that its Chief Financial Officer, Caci James, had a total of 5,714 shares of common stock withheld on September 4, 2026 to satisfy tax obligations related to equity vesting. The company states these were exempt transactions under Rule 16b-3 and not discretionary trades by the executive.

AvePoint, Inc. (AVPT) disclosed that Chief Legal Officer and director Brian Michael Brown had 4,092 shares of common stock withheld on September 4, 2026 at $13.43 per share. These shares were withheld solely to pay exercise price or income tax liabilities in connection with RSU-related equity vesting under the 2021 Equity Incentive Plan, as an exempt, non-discretionary transaction, and no Rule 10b5-1 trading plan is reported.

AvePoint, Inc. (AVPT) reported that Chief Executive Officer and director Tianyi Jiang made a bona fide charitable gift of 36,000 shares of Common Stock on September 1, 2026, to Cornell University. This exempt gift is the third of five annual gifts scheduled through June 30, 2028, each in an amount not less than $400,000. Following the gift, Jiang holds 2,251,615 shares of AvePoint common stock, including both non-RSU shares and vested and unvested RSUs granted under the company’s 2021 Equity Incentive Plan. No Rule 10b5-1 trading plan is reported for this transaction.

AvePoint, Inc. (AVPT) director and Chief Legal Officer Brian Michael Brown reported an indirect sale of company common stock held by the Brian M. Brown Revocable Trust. On 2026-08-27, the Trust sold 60,000 shares at $14.20 per share, leaving 384,604 shares held indirectly. The transaction was executed under a Rule 10b5-1 trading plan adopted on 2025-12-16, and Brown disclaims beneficial ownership of the Trust’s shares except to the extent of his pecuniary interest.

AvePoint, Inc. (AVPT) director and Chief Legal Officer Brian Michael Brown reported an indirect sale of 10,000 shares of Common Stock on 2026-08-24 at $13.30 per share. The shares were held by the Brian M. Brown Revocable Trust under a Rule 10b5-1 trading plan. After this transaction, the trust-related holdings reported for Mr. Brown were 444,604 shares, with beneficial ownership disclaimed except for his pecuniary interest.

AvePoint, Inc. director and Chief Legal Officer Brown Brian Michael reported selling 10,000 shares of common stock in two open-market transactions on July 28–29, 2026, at prices of $13.06 and $13.08 per share. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted on December 16, 2025. Footnotes explain that reported equity holdings, when shown, combine non-RSU common shares with vested and unvested RSUs subject to previously disclosed vesting schedules.

AvePoint, Inc. director and chief legal officer Brian Michael Brown reported open-market sales of 40,000 shares of common stock on July 14–15, 2026, at prices of $13.00 and $13.18 per share. The transactions were executed under a Rule 10b5-1 trading plan adopted on December 16, 2025, and Brown continues to hold 819,664 shares, including vested and unvested RSUs.

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown exercised stock options to acquire 50,492 shares of common stock on June 18, 2026. The options had an exercise price of $1.59 per share under the company’s 2016 Equity Incentive Plan.

Following the exercise, Brown directly holds 859,664 shares of common stock, which include both regular shares and restricted stock units granted under AvePoint’s 2021 Equity Incentive Plan. He also continues to hold 2,182,807 stock options after this transaction. No shares were sold; this filing reflects a compensation-related option exercise rather than an open-market trade.

AvePoint, Inc. Executive Chairman Xunkai Gong exercised stock options to acquire a large block of common shares. On June 22, 2026, he exercised options covering 743,529 shares and another 205,913 shares of AvePoint common stock, for a total of 949,442 shares. These options, granted under AvePoint’s 2016 Equity Incentive Plan, had an exercise price of $1.34 per share and were due to expire on July 1, 2026. The filing shows no open‑market sales and indicates that these option grants have now been exercised, with Gong holding the acquired shares directly.

AvePoint, Inc. director and Chief Executive Officer Tianyi Jiang reported a tax-related share disposition. On June 12, 2026, 2,914 shares of common stock were withheld at $10.87 per share to satisfy income tax obligations tied to vested equity awards, an exempt transaction under Rule 16b-3 rather than an open-market sale. Following this withholding, Jiang directly holds 2,287,615 shares of AvePoint common stock, including both regular shares and restricted stock units that vest over time.

AvePoint, Inc. Executive Chairman Xunkai Gong reported a routine tax-related share disposition. On June 12, 2026, 3,788 shares of common stock were withheld at $10.87 per share to satisfy income tax obligations tied to equity vesting under the company’s 2021 Equity Incentive Plan.

After this non-discretionary withholding, Gong directly holds 919,590 shares of AvePoint common stock, including both non-RSU shares and vested and unvested restricted stock units subject to previously disclosed vesting schedules.

AvePoint, Inc. Chief Financial Officer James Caci reported routine, non-market transactions related to equity compensation. On June 12, 2026, a total of 8,637 shares of common stock were disposed of at $10.87 per share to satisfy income tax withholding obligations on vested awards under the 2021 Equity Incentive Plan. The footnotes state these are exempt transactions under Rule 16b-3 and do not represent discretionary trading decisions. Reported holdings include both common stock and vested and unvested RSUs subject to previously disclosed vesting schedules.

AvePoint, Inc. reported a routine insider tax-withholding event involving its Chief Legal Officer, Brian Michael Brown. On June 12, 2026, a total of 6,885 shares of AvePoint common stock were disposed of at $10.87 per share in two transactions coded "F." According to the disclosure, these shares were withheld by the company to satisfy income tax obligations tied to the vesting or settlement of equity awards granted under AvePoint's 2021 Equity Incentive Plan, in an exempt transaction under Rule 16b-3. The filing notes that this represents payment of tax liability by delivering or withholding securities and does not represent a discretionary market transaction by the reporting person.

AvePoint, Inc. Chief Executive Officer Tianyi Jiang reported two tax-withholding dispositions of common stock tied to equity compensation vesting. On these transactions, a total of 4,392 shares of common stock were withheld at a price of $10.74 per share to cover income tax obligations, rather than sold in open-market trades. Following these routine withholding events, Jiang directly holds about 2,290,529 shares of AvePoint common stock and vested or unvested restricted stock units.

AvePoint, Inc. Executive Chairman Xunkai Gong reported two exempt tax-withholding transactions in the company’s common stock. On June 5, 2026, a total of 5,708 shares were disposed of through issuer share withholding at $10.74 per share to satisfy income tax obligations tied to equity awards granted under the 2021 Equity Incentive Plan.

These Form 4 entries are coded "F" and described as payment of tax liability by delivering or withholding securities under Rule 16b-3, and the footnotes state they do not represent discretionary trades. Following the transactions, Gong’s direct holdings, including common shares and vested and unvested RSUs, remained in the high hundreds of thousands of shares.

AvePoint, Inc. Chief Financial Officer Caci James reported tax-related share dispositions tied to equity compensation. On June 5, 2026, a total of 5,714 shares of common stock were withheld at $10.74 per share to satisfy income tax obligations on vested awards, as described as an exempt transaction under Rule 16b-3. These withholdings were not discretionary market sales by the executive, and James continues to hold 706,494 shares of AvePoint common stock directly, including both non-RSU shares and vested and unvested RSUs.

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.

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown reported an exempt tax-withholding transaction related to equity compensation. On this event, 27 shares of common stock were withheld at $10.89 per share to satisfy tax obligations. Following the withholding, he directly holds 820,151 shares of common stock, including both non-RSU shares and vested and unvested RSUs granted under AvePoint’s 2021 Equity Incentive Plan.

Epstein Jeff reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. director Jeff Epstein received a grant of 16,493 shares of common stock in the form of restricted stock units (RSUs) valued at $11.52 per share. This is a compensation-related award, not an open-market purchase.

According to the terms, 100% of these RSUs will vest on June 1, 2027, conditional on his continued service with the company through that date. After this grant, Epstein directly holds a total of 1,184,128 shares of AvePoint common stock, including RSUs.

Ho John Chi On reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. director John Chi On Ho received a grant of 16,493 shares of Common Stock, represented as restricted stock units (RSUs) valued at $11.52 per share. These RSUs are compensation under the 2021 Equity Incentive Plan and are not an open-market purchase.

All of the RSUs will vest on June 1, 2027, contingent on his continued service with the company through that date. Following this award, he holds 3,749,172 shares of AvePoint common stock directly.

Teper Jeff reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. director Jeff Teper received a grant of 16,493 shares of common stock in the form of restricted stock units (RSUs). The RSUs were valued at $11.52 per share for reporting purposes and were issued under AvePoint’s 2021 Equity Incentive Plan.

Each RSU represents a right to receive one share of AvePoint common stock when it vests. According to the disclosure, 100% of these RSUs will vest on June 1, 2027, provided Teper continues his service with the company through that date. Following this award, Teper now holds a total of 335,798 shares of AvePoint common stock, including RSUs.

SCHIJNS JANET reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. director Janet Schijns reported an equity award of common stock in the form of restricted stock units. She was granted 16,493 RSUs at a reference price of $11.52 per share, each representing one share of common stock upon vesting.

According to the grant terms, 100% of the RSUs will vest on June 1, 2027, subject to her continued service with AvePoint through that date. After this award, Schijns holds a total of 106,294 shares of AvePoint common stock directly, including RSUs.

AvePoint, Inc. CEO Jiang Tianyi reported a routine tax-withholding share disposition related to equity compensation. On this Form 4, 4,706 shares of common stock were withheld at $10.30 per share to cover income tax obligations tied to the vesting or settlement of restricted stock units.

According to the filing, this exempt transaction under Rule 16b-3 was not a discretionary trade in the open market. After the withholding, Jiang directly holds 2,294,921 shares of AvePoint common stock, which include both non-RSU shares and vested and unvested RSUs granted under the company’s 2021 Equity Incentive Plan.

AvePoint, Inc. Chief Financial Officer Caci James reported a routine tax-withholding disposition of 2,823 shares of common stock at $10.30 per share. These shares were withheld by AvePoint to cover income tax obligations tied to vested equity awards, rather than sold in a discretionary trade. After this withholding, James directly holds 712,208 shares of common stock, which includes both non-RSU shares and vested and unvested restricted stock units granted under the company’s 2021 Equity Incentive Plan.

AvePoint, Inc. chief legal officer Brian Michael Brown reported a small, non-discretionary share disposition tied to equity compensation. On this Form 4, 1,546 shares of common stock were withheld by AvePoint on March 20, 2026 to cover income tax obligations upon vesting of restricted stock units.

The filing describes this as an exempt, tax-withholding transaction under Rule 16b-3, not an open-market trade. After the withholding, Brown holds 820,178 shares of AvePoint common stock, including both non-RSU shares and vested and unvested RSUs granted under the 2021 Equity Incentive Plan.

AvePoint, Inc. Executive Chairman Gong Xunkai reported a Form 4 showing 6,117 shares of common stock were disposed of on March 20, 2026 at $10.30 per share. The shares were withheld by the company to cover tax obligations on vested equity awards and were not a discretionary sale. After this tax-withholding transaction, he holds 929,086 shares, including both common stock and vested and unvested RSUs.

AvePoint, Inc. Executive Chairman Xunkai Gong reported new equity awards. He received stock options for 325,947 shares of common stock at an exercise price of $10.52 per share, granted under the 2021 Equity Incentive Plan.

These options vest 25% on March 16, 2027, with the remainder vesting in 12 equal quarterly installments, subject to continued service. He also acquired 190,114 shares of common stock at $0.00 per share, representing restricted stock units and performance-based RSUs tied to 2026–2028 annual recurring revenue growth and FY 2028 GAAP profitability, with actual payouts ranging from 50% to 200% of the granted value.

AvePoint, Inc. director and Chief Executive Officer Tianyi Jiang reported equity awards that increase his direct holdings in the company. He received stock options for 252,609 shares of common stock at an exercise price of $10.52 per share, vesting 25% on March 16, 2027 and the remainder in 12 equal quarterly installments, subject to continued service.

He also acquired 147,338 shares of common stock at no cost, representing a mix of restricted stock units and performance-based RSUs under the 2021 Equity Incentive Plan. These performance-based RSUs depend on annual recurring revenue growth from 2026–2028 and 2028 GAAP profitability, with potential payouts ranging from 50% to 200% of the granted value. Following these grants, his reported direct holdings include 2,299,627 shares of common stock (including RSUs) and 2,756,670 options.

Caci James reported acquisition or exercise transactions in this Form 4 filing.

AvePoint, Inc. Chief Financial Officer Caci James received equity awards covering 294,677 shares of common stock on March 13, 2026, at no cash cost, increasing her direct holdings to 715,031 shares.

The awards consist of restricted stock units (RSUs) and performance-based RSUs (PRSUs) granted under AvePoint’s 2021 Equity Incentive Plan. For one RSU grant, 25% will vest on March 15, 2027, with the remaining portion vesting in 12 quarterly installments thereafter, contingent on continued service.

The PRSUs are tied to two performance metrics for 2026–2028: annual recurring revenue compounded annual growth rate (70% weight) and fiscal 2028 GAAP profitability (30% weight). Actual payouts may range from 50% to 200% of the granted value and will fully vest after the compensation committee certifies results at the end of the performance period.

AvePoint, Inc. Chief Legal Officer Brian Michael Brown reported equity awards and an option exercise with no share sales. On March 16, 2026, he acquired 142,586 and 47,529 shares of common stock as grants at $0.00 per share, representing a mix of time-based RSUs and performance-based RSUs under company incentive plans. The time-based RSUs vest 25% on March 15, 2027, with the remainder vesting in 12 quarterly installments, subject to continued service. The performance-based RSUs depend on 2026–2028 annual recurring revenue growth and 2028 GAAP profitability, with payouts between 50% and 200% of the granted value. On March 17, 2026, he exercised options for 1,803 shares of common stock at an exercise price of $1.34 per share. Following these transactions, Brown directly holds 821,724 shares of common stock and 2,263,299 options to purchase common stock.

AvePoint, Inc. Executive Chairman Xunkai Gong reported a small, non-discretionary tax-withholding transaction in the company’s common stock. On March 13, 2026, 3,988 shares of common stock were disposed of at $10.43 per share to satisfy income tax withholding obligations tied to equity vesting, rather than through an open-market sale. After this withholding, Gong’s direct holdings increased or adjusted to a total of 745,089 shares of common stock, which includes both non-RSU shares and vested and unvested restricted stock units granted under AvePoint’s 2021 Equity Incentive Plan.

AvePoint, Inc. Chief Executive Officer Tianyi Jiang reported an automatic share disposition related to equity compensation. On March 13, 2026, 2,914 shares of common stock were withheld at $10.43 per share to cover tax obligations upon the vesting or settlement of awards under the 2021 Equity Incentive Plan.

The filing explains this was an exempt, non-discretionary tax-withholding transaction by the issuer, not an open-market sale by Jiang. After this event, Jiang directly holds 2,152,289 shares of AvePoint common stock, including both non‑RSU shares and vested and unvested RSUs subject to existing vesting schedules.

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.

AvePoint, Inc. reported that Chief Legal Officer Brian Michael Brown had 12,509 shares of common stock withheld on March 13, 2026 to cover income tax obligations tied to equity vesting. These tax-withholding dispositions were executed by the company and are described as non-discretionary for the insider.

Following these withholding transactions, Brown directly holds 629,806 shares of AvePoint common stock, a figure that includes both regular shares and restricted stock units granted under the 2021 Equity Incentive Plan.

AvePoint, Inc. Executive Chairman Gong Xunkai reported mixed equity transactions in company common stock. On March 5, 2026, he acquired 44,439 shares of common stock at $11.29 per share through a grant or award, increasing his direct holdings.

On the same date, 48,539 shares of common stock at $11.29 per share were disposed of in an exempt tax-withholding transaction related to equity vesting, which the company executed to cover income tax obligations rather than a discretionary sale. After these moves, he directly owned 749,077 shares, including previously granted restricted stock units and performance-based RSUs subject to vesting and performance conditions.

AvePoint, Inc. director and Chief Executive Officer Tianyi Jiang reported equity compensation activity involving the company’s common stock. On March 5, 2026, he acquired 44,439 shares at $11.29 per share through a grant or award, including performance-based restricted stock units subject to vesting and performance conditions.

On the same date, 35,118 shares at $11.29 per share were withheld by AvePoint to cover exercise price or income tax obligations related to the vesting or settlement of those awards, a non-discretionary, exempt disposition. After these transactions, Jiang directly owned 2,155,203 shares of AvePoint common stock, including both non-RSU stock and vested and unvested RSUs under prior equity awards.

AvePoint, Inc. Chief Financial Officer Caci James reported a stock compensation event involving common shares. On March 5, 2026, James received a grant or award of 17,775 shares of common stock at $11.29 per share, tied to performance-based restricted stock units under AvePoint’s 2021 Equity Incentive Plan.

On the same date, 18,005 shares of common stock at $11.29 per share were automatically withheld by AvePoint to cover income tax obligations related to the vesting or net settlement of these securities, an exempt, non-discretionary transaction. After these transactions, James directly owned 436,540 shares of AvePoint common stock, including both non-RSU shares and vested and unvested RSUs previously reported.

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown reported equity compensation-related transactions in the company’s common stock. He acquired 11,107 shares through a grant or award valued at $11.29 per share, increasing his direct holdings as part of AvePoint’s 2021 Equity Incentive Plan.

On the same date, 12,899 shares were disposed of at $11.29 per share to cover income tax withholding obligations tied to vesting securities, an exempt, non-discretionary transaction. Following these movements, Brown directly held 642,315 shares, including both common stock and previously granted restricted stock units subject to vesting and performance conditions.

AvePoint, Inc. director and Chief Legal Officer Brian Michael Brown reported an exempt insider transaction related to equity compensation. On 02/04/2026, 322 shares of common stock were withheld by the company at $10.53 per share to cover tax obligations tied to vesting securities under the 2021 Equity Incentive Plan, rather than sold at his discretion. After this withholding, he beneficially owns 644,107 shares, including both common stock and vested and unvested restricted stock units that each convert into one share upon vesting.

AvePoint, Inc. insider entities reported planned stock sales. Trusts and LLCs associated with Executive Chairman and director Gong Xunkai sold 32,002 shares of common stock on January 12, 2026 at $13.66 per share and 27,998 shares on January 13, 2026 at $13.39 per share. Both transactions were indirect, reported as "Held by trusts and LLCs."

After these sales, entities associated with Mr. Gong beneficially owned 14,948,666 shares and 14,920,668 shares, respectively, on an indirect basis. The sales were effected under a Rule 10b5-1 trading plan adopted by the reporting person on June 22, 2025, and the report notes that he may be deemed to beneficially own certain affiliate- and trust-held shares while disclaiming beneficial ownership except to the extent of his pecuniary interest.

AvePoint director and Chief Legal Officer Brian Michael Brown reported insider equity transactions involving company stock and awards. On December 12, 2025, he acquired 21,000 shares of AvePoint common stock in connection with the exercise of stock options at a reported price of $13.89 per share. In a related exempt transaction under Rule 16b-3, 5,010 shares were withheld by AvePoint to satisfy the exercise price or tax obligations, rather than sold at his discretion. After these transactions, he beneficially owned 645,048 shares of common stock and restricted stock units in total, and held 2,265,102 stock options, all reported as directly owned.

AvePoint, Inc.’s chief financial officer reported a routine tax-related share withholding connected to equity compensation. On 12/12/2025, 6,120 shares of common stock were withheld at $13.89 per share to cover income tax obligations arising from the vesting or settlement of restricted stock units (RSUs) granted under the company’s 2021 Equity Incentive Plan.

This exempt transaction did not reflect a discretionary sale by the officer. After the withholding, the officer beneficially owns 200,130 shares of AvePoint common stock, including both regular shares and vested and unvested RSUs, each RSU representing the right to receive one share upon vesting.

AvePoint, Inc.'s Chief Executive Officer, who is also a director, reported an automatic tax-withholding transaction involving company stock. On 12/12/2025, 2,914 shares of AvePoint common stock were withheld by the company at a price of $13.89 per share to satisfy income tax obligations triggered by the vesting or settlement of restricted stock units (RSUs) granted under the 2021 Equity Incentive Plan. The filing characterizes this as an exempt Rule 16b-3 transaction and notes that it does not represent a discretionary trade by the insider. After this withholding, the reporting person beneficially owned 2,150,588 shares of AvePoint common stock, including both non-RSU shares and vested and unvested RSUs.

AvePoint, Inc. disclosed that its executive chairman and director had 4,025 shares of common stock withheld on December 12, 2025 to satisfy tax and related obligations arising from the vesting or settlement of equity awards, at a price of $13.89 per share. The company explains this was an exempt, non-discretionary transaction in which shares were delivered or withheld to cover income tax withholding and remittance obligations.

The reported holdings after this event total 759,677 shares beneficially owned directly, which include both non‑RSU common stock and aggregate vested and unvested restricted stock units granted under AvePoint’s 2021 Equity Incentive Plan. Each RSU represents the right to receive one share of common stock upon vesting.