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, 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. will hold its 2026 annual meeting of stockholders as a virtual-only event on May 5, 2026 at 9:00 a.m. Eastern Time via www.virtualshareholdermeeting.com/AVPT2026. Stockholders of record as of March 9, 2026, when 215,958,712 shares of common stock were outstanding, are entitled to vote, with each share carrying one vote per proposal.
Stockholders will vote on three items: electing three Class II director nominees (Brian Michael Brown, Jeff Epstein, and John Ho), a non-binding advisory “say-on-pay” vote on 2025 compensation for named executive officers, and ratifying Deloitte & Touche LLP as independent auditor for fiscal year 2026. The board recommends voting “FOR” all three proposals. The proxy also describes AvePoint’s largely independent board, its three key committees, ESG initiatives, and policies on risk oversight, related-party transactions, insider trading, and director and executive compensation.