0001437749-24-009078.txt : 20240322 0001437749-24-009078.hdr.sgml : 20240322 20240322193352 ACCESSION NUMBER: 0001437749-24-009078 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240320 FILED AS OF DATE: 20240322 DATE AS OF CHANGE: 20240322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caci James CENTRAL INDEX KEY: 0001367794 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39048 FILM NUMBER: 24776645 MAIL ADDRESS: STREET 1: C/O AVEPOINT, INC. STREET 2: 525 WASHINGTON BLVD., SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AvePoint, Inc. CENTRAL INDEX KEY: 0001777921 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 834461709 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 525 WASHINGTON BLVD STREET 2: SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 BUSINESS PHONE: (201) 793-1111 MAIL ADDRESS: STREET 1: 525 WASHINGTON BLVD STREET 2: SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER COMPANY: FORMER CONFORMED NAME: Apex Technology Acquisition Corp DATE OF NAME CHANGE: 20190528 4 1 rdgdoc.xml FORM 4 X0508 4 2024-03-20 0001777921 AvePoint, Inc. AVPT 0001367794 Caci James C/O AVEPOINT, INC. 525 WASHINGTON BOULEVARD, SUITE 1400 JERSEY CITY NJ 07310 1 Chief Financial Officer 1 Common Stock 2024-03-20 4 S 0 3061 8 D 717412 D Common Stock 2024-03-21 4 S 0 6939 8.0008 D 710473 D Common Stock 2024-03-21 4 F 0 2824 8.03 D 707649 D This security represents 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. This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1(c) trading plan adopted by the Reporting Person on 12-08-2023. 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 and March 7, 2024. 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 RSUs and does not represent a discretionary transaction by the Reporting Person. /s/ Brian Michael Brown, Attorney-in-Fact 2024-03-22