Welcome to our dedicated page for AvePoint SEC filings (Ticker: AVPT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
AvePoint, Inc. filings document the company’s financial results, governance matters, capital structure and public-company securities activity. Form 8-K reports furnish quarterly and annual operating results, including SaaS revenue, total revenue, annual recurring revenue and related financial-condition disclosures tied to the company’s cloud data protection business.
Proxy materials and annual meeting reports cover director elections, executive compensation votes, auditor ratification and board governance. Other filings address common stock offering activity under shelf registration materials, the company’s secondary listing context for common stock, and the removal of AvePoint warrants from Nasdaq listing and registration.
AvePoint Chief Legal Officer Brian Michael Brown reported the sale of 35,000 shares of common stock at $18.23 per share on June 23, 2025. The transaction was executed under a Rule 10b5-1 trading plan established on December 18, 2024.
Following the transaction, Brown retains beneficial ownership of 1,225,443 shares, which includes both non-RSU common stock and previously reported vested/unvested RSUs. Brown serves as both Director and Chief Legal Officer of AvePoint.
- Transaction Value: Approximately $638,050
- Trading Plan: Executed under pre-established Rule 10b5-1 plan
- Position: Dual role as Director and Chief Legal Officer
- Ownership: Direct beneficial ownership of remaining shares
AvePoint, Inc. (AVPT) – Form 4 insider filing
On 20 June 2025, director-level insider Zhijian Lu reported an exempt transaction (Code F) involving the company’s common stock. A total of 721 shares were automatically withheld and disposed of at $17.96 per share to cover exercise-price or tax-withholding obligations related to previously granted restricted stock units (RSUs) under the 2021 Equity Incentive Plan. This was a non-discretionary, broker-facilitated settlement permitted under Rule 16b-3.
Following the withholding, Lu’s direct beneficial ownership stands at 182,562 shares, which comprises both vested and unvested RSUs. The filing notes that Lu no longer qualifies as a beneficial owner of more than 10 % of AvePoint’s outstanding shares; therefore, this Form 4 also serves as an exit filing under Section 16 reporting requirements.
No derivative securities were acquired or disposed of, and there were no open-market sales or purchases beyond the tax-related share withholding. The limited share count involved (721 shares, ≈0.4 % of current holdings) makes the economic impact minimal, but the change in >10 % ownership status slightly reduces insider concentration.
AvePoint CFO James Caci reported a Form 4 filing on June 28, 2025, disclosing a transaction dated June 20, 2025. The filing details a tax-related withholding transaction where 2,823 shares of common stock were withheld at $17.96 per share to satisfy tax obligations.
Key transaction details:
- Transaction was classified as 'F' code (payment of exercise price or tax liability)
- Following the transaction, Caci beneficially owns 671,790 shares directly
- The shares withheld were related to the vesting of previously awarded RSUs
- This was a non-discretionary transaction for tax withholding purposes
The beneficial ownership includes both non-RSU common stock and aggregate vested/unvested RSUs from previous grants dating back to September 2021 through March 2025.
AvePoint Executive Chairman Reports Tax-Related Share Transaction
Xunkai Gong, Executive Chairman and 10% owner of AvePoint (AVPT), reported a Form 4 filing on June 28, 2025, detailing a transaction that occurred on June 20, 2025. The insider disposed of 6,500 shares at $17.96 per share through a tax withholding transaction (Code F). This was an exempt transaction related to tax liability settlement, not a discretionary sale.
Following the transaction, Gong maintains beneficial ownership of 767,727 shares held directly. This position includes both common stock and previously granted RSUs (both vested and unvested) from multiple grants between 2021 and 2025. The transaction was executed via power of attorney by Brian Michael Brown.
- Transaction Type: Tax withholding (non-discretionary)
- Share Price: $17.96
- Insider Roles: Executive Chairman, Director, and 10% Owner
AvePoint CEO Tianyi Jiang reported a Form 4 filing on June 28, 2025, disclosing a tax-related withholding transaction of company shares. The filing reveals that 4,706 shares were withheld at $17.96 per share on June 20, 2025, to satisfy tax obligations related to equity compensation.
Key details of the transaction:
- Transaction was an exempt withholding (Code F) for tax liability purposes
- Following the transaction, Jiang maintains beneficial ownership of 589,208 shares
- Holdings include both common stock and previously granted RSUs with various vesting schedules
- Jiang serves multiple roles: CEO, Director, and 10% Owner
This transaction represents a routine tax withholding event rather than a discretionary sale by the insider, executed in accordance with Rule 16b-3.
Form 4 overview
On 06/20/2025, AvePoint, Inc. (AVPT) Chief Legal Officer and director Brian Michael Brown reported an exempt disposition of 1,547 common shares (transaction code F) at a price of $17.96 per share. The shares were withheld by the issuer to satisfy income-tax obligations related to equity compensation under Rule 16b-3, so the filing does not reflect an open-market sale.
Following the transaction, Brown directly owns 1,260,443 AvePoint common shares. No derivative security activity was reported. The filing is administrative in nature and shows the insider maintains a substantial stake while meeting tax liabilities.
Form 4 filing overview: On 20 June 2025 AvePoint, Inc. (AVPT) filed a Form 4 disclosing that board director Jeff Epstein acquired additional equity in the company.
- Security: Common stock, reported as a mix of ordinary shares and restricted stock units (RSUs) issued under the 2021 Equity Incentive Plan.
- Amount acquired: 9,744 shares/RSUs.
- Transaction code: “A” (acquisition).
- Transaction price: $17.96 per share as listed in the filing.
- Post-transaction holding: 1,167,635 shares held directly by Mr. Epstein.
- Vesting schedule: 100 % of the RSUs will vest on 1 June 2026, contingent on continued service.
The filing indicates that the additional equity was granted rather than purchased on the open market, a typical element of director compensation. Nonetheless, it raises Mr. Epstein’s direct ownership to more than one million shares, aligning his interests with shareholders ahead of the scheduled vesting date in 2026.
AvePoint, Inc. (AVPT) – Form 4 insider filing
The filing reports that director Jeff Teper received an equity award on 20 June 2025. The grant consists of 9,744 restricted stock units (RSUs), each convertible into one share of common stock upon vesting. The RSUs carry a reference price of $17.96 and will vest 100 % on 1 June 2026, conditional on Teper’s continued service.
Following this award, Teper’s total beneficial ownership increased to 319,305 AVPT shares, held directly. No derivative securities, dispositions, or open-market purchases were disclosed.
The transaction reflects routine board compensation and represents roughly 0.1 % of AvePoint’s 206 million basic shares outstanding (based on latest 10-Q), implying an immaterial dilution impact.
Form 4 Overview – AvePoint, Inc. (AVPT)
Director Janet Schijns reported an equity transaction dated 20 June 2025. The filing shows the acquisition of 9,744 shares of AvePoint common stock (classified as restricted stock units, RSUs) at a stated price of $17.96 per share under the company’s 2021 Equity Incentive Plan. The RSUs represent a contingent right to receive one share of common stock for each unit upon vesting.
Vesting & Ownership
- 100 % of the RSUs vest on 1 June 2026, subject to the director’s continued service.
- Post-transaction beneficial ownership rises to 89,801 shares, held directly.
No derivative securities (options, warrants, etc.) were reported in Table II. The transaction was coded “A” (acquisition) and signed by Attorney-in-Fact Brian Michael Brown on 23 June 2025.
Investor Takeaways
- The filing indicates continued board-level alignment with shareholders through additional equity exposure.
- Because the award is in the form of RSUs rather than an open-market cash purchase, cash outlay by the insider is minimal; nevertheless, the grant’s delayed vesting may aid long-term retention.
AvePoint, Inc. (AVPT) filed a Form 4 disclosing that director John Chi On Ho received 9,744 shares of common stock in the form of restricted stock units (RSUs) on 20 June 2025 under the company’s 2021 Equity Incentive Plan. The transaction is coded “A,” indicating an acquisition rather than a disposition. The RSUs carry a grant date value that references a $17.96 share price, but no cash changed hands because the units were awarded, not bought on the open market.
Following the grant, Ho’s total beneficial ownership rose to 4,295,768 shares, reinforcing a substantial insider stake. Per the accompanying footnotes, 100% of these RSUs will vest on 1 June 2026, contingent on Ho’s continued service as a director. No derivative securities, options, or additional equity instruments were reported. The filing contains no information on company earnings, operations, or other material events; it is strictly a disclosure of insider equity compensation.
For investors, the award marginally increases insider alignment but is not large enough relative to the existing 4.3 million-share holding—or AvePoint’s overall float—to be considered materially dilutive or a strong buy signal. The absence of open-market purchases limits the direct market-sentiment read-through. Overall, the filing is routine and has limited impact on the investment thesis, though it confirms ongoing board engagement and adherence to compensation schedules.