SEC Form 4 · accession 0001437749-26-030460
AvePoint, Inc. · AVPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Caci
Officer — Chief Financial Officer
Period of report
Sep 11, 2026
Accepted (ET)
Sep 15, 2026 · 4:53 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001777921
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Sep 11, 2026 | F | 6,120 | $12.66 | D | 686,023 | D | |
| Common StockF1,F2,F3 | Sep 14, 2026 | F | 2,517 | $13.60 | D | 683,506 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This 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.
- F2Exempt 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.
- F3Includes 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.