0001387131-23-011233.txt : 20230918 0001387131-23-011233.hdr.sgml : 20230918 20230918085759 ACCESSION NUMBER: 0001387131-23-011233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230918 DATE AS OF CHANGE: 20230918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Waxman Alan CENTRAL INDEX KEY: 0001515132 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39048 FILM NUMBER: 231260230 MAIL ADDRESS: STREET 1: C/O SIXTH STREET PARTNERS, LLC STREET 2: 345 CALIFORNIA STREET, SUITE 2600 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sixth Street Partners Management Company, L.P. CENTRAL INDEX KEY: 0001812095 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39048 FILM NUMBER: 231260231 BUSINESS ADDRESS: STREET 1: C/O SIXTH STREET PARTNERS, LLC STREET 2: 2100 MCKINNEY AVENUE, SUITE 1500 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: (469) 621-3001 MAIL ADDRESS: STREET 1: C/O SIXTH STREET PARTNERS, LLC STREET 2: 2100 MCKINNEY AVENUE, SUITE 1500 CITY: DALLAS STATE: TX ZIP: 75201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AvePoint, Inc. CENTRAL INDEX KEY: 0001777921 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] 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 avpt-form4_091523.xml CHANGES IN BENEFICIAL OWNERSHIP X0508 4 2023-09-15 1 0001777921 AvePoint, Inc. AVPT 0001812095 Sixth Street Partners Management Company, L.P. C/O SIXTH STREET PARTNERS, LLC 2100 MCKINNEY AVENUE, SUITE 1500 DALLAS TX 75201 0 0 0 1 Former 10% Owner 0001515132 Waxman Alan C/O SIXTH STREET PARTNERS, LLC 345 CALIFORNIA STREET, SUITE 2600 SAN FRANCISCO CA 94104 0 0 0 1 Former 10% Owner 0 Common Stock 2023-09-15 4 S 0 4984140 6.00 D 2407123 I Held by Avatar Investment Solutions (A), LLC Common Stock 2023-09-15 4 S 0 3904714 6.00 D 1885806 I Held by Avatar Investment Solutions 1, LLC Common Stock 2023-09-15 4 S 0 7777746 6.00 D 3756312 I Held by Avatar Investment Opportunities, LLC Includes 213,895 shares of Common Stock that the Reporting Persons have the right to receive if the trading price of the Common Stock reaches certain thresholds (the "Contingent Consideration"). The Contingent Consideration vests in equal thirds if the trading price of Common Stock is greater than or equal to $12.50, $15.00 and $17.50, respectively, for any 20 trading days within any 30-trading day period (the "Milestones"). If the Milestones are not met by the seventh anniversary of the closing of the issuer's initial public offering, then the unvested Contingent Consideration will be forfeited. These shares are owned directly by Avatar Investment Solutions (A), LLC. Avatar Investment Solutions (A), LLC's managing member is TCS Finance (A), LLC, the managing member of which is Sixth Street Growth GenPar, L.P. (formerly known as TSSP Capital Solutions GenPar, L.P.), a Delaware limited partnership. Sixth Street Growth GenPar, L.P. is ultimately indirectly controlled by Sixth Street Partners Management Company, L.P., a Delaware limited partnership ("Management Company"). Management Company is managed by its general partner, whose managing member is Alan Waxman. Includes 167,571 shares of Contingent Consideration. These shares are owned directly by Avatar Investment Solutions 1, LLC. Avatar Investment Solutions 1, LLC's managing member is TCS Finance 1, LLC, the manager of which is Sixth Street Growth GenPar, L.P. Sixth Street Growth GenPar, L.P. is ultimately indirectly controlled by Management Company. Management Company is managed by its general partner, whose managing member is Alan Waxman. Includes 333,783 shares of Contingent Consideration. These shares are owned directly by Avatar Investment Opportunities, LLC. Avatar Investment Opportunities, LLC's managing member is Redwood IV Finance 1, LLC, the managing member of which is Sixth Street Opportunities GenPar IV, L.P. (formerly known as TSSP Opportunities GenPar IV, L.P.). Sixth Street Opportunities GenPar IV, L.P. is ultimately indirectly controlled by Management Company. Management Company is managed by its general partner, whose managing member is Alan Waxman. Each of Management Company and Alan Waxman disclaim beneficial ownership over the reported securities, except to the extent of their pecuniary interest therein. 9. Joshua Peck is signing on behalf of Mr. Waxman pursuant to an authorization and designation letter dated June 15, 2023, which was previously filed with the Commission as an exhibit to the Schedule 13D filed by Mr. Waxman on July 15, 2023 (SEC File No. 005-91137). Sixth Street Partners Management Company, L.P. By: /s/ David Stiepleman, Authorized Signatory of the GP of Sixth Street Partners Management Company, L.P. 2023-09-18 Alan Waxman By: /s/ Joshua Peck, on behalf of Alan Waxman (9) 2023-09-18