0001209191-21-049059.txt : 20210802 0001209191-21-049059.hdr.sgml : 20210802 20210802160909 ACCESSION NUMBER: 0001209191-21-049059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210802 DATE AS OF CHANGE: 20210802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lu Zhijian CENTRAL INDEX KEY: 0001874612 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39048 FILM NUMBER: 211136128 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] IRS NUMBER: 834461709 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 533 AIRPORT BLVD SUITE 400 CITY: BURLINGAME STATE: CA ZIP: 94010 BUSINESS PHONE: 6197366855 MAIL ADDRESS: STREET 1: 533 AIRPORT BLVD SUITE 400 CITY: BURLINGAME STATE: CA ZIP: 94010 FORMER COMPANY: FORMER CONFORMED NAME: Apex Technology Acquisition Corp DATE OF NAME CHANGE: 20190528 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-07-01 0 0001777921 AvePoint, Inc. AVPT 0001874612 Lu Zhijian C/O AVEPOINT, INC. 525 WASHINGTON BLVD., SUITE 1400 JERSEY CITY NJ 07310 0 0 1 0 Common Stock 2021-07-01 4 A 0 51392 0.00 A 51392 D Common Stock 2021-07-01 4 A 0 9708154 0.00 A 9759546 I By Trusts Common Stock 2021-07-01 4 A 0 8792519 0.00 A 18552065 I By LLCs Stock Option (right to buy) 1.3357 2021-07-01 4 A 0 505616 0.00 A 2026-07-01 Common Stock 505616 505616 D Stock Option (right to buy) 1.5866 2021-07-01 4 A 0 391115 0.00 A 2029-01-10 Common Stock 391115 301115 D Stock Option (right to buy) 3.9049 2021-07-01 4 A 0 264257 0.00 A 2030-08-12 Common Stock 264257 264257 D Received on July 1, 2021 pursuant to that certain Business Combination Agreement and Plan of Reorganization ("BCA"), dated as of November 23, 2020, as amended on December 30, 2020, March 8, 2021 and May 18, 2021, by and among Apex Technology Acquisition Corporation ("Apex"), Athena Technology Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of Apex, Athena Technology Merger Sub 2, LLC, a Delaware limited liability company and a wholly-owned subsidiary of Apex and AvePoint, Inc. a Delaware corporation ("Former AvePoint") in exchange for Former AvePoint shares. The BCA provides that the former stockholders of Former AvePoint will receive additional shares of the Issuer's Common Stock if the Issuer's closing share price equals or exceeds $12.50, $15.00 and $17.50 for any 20 trading days within any consecutive 30-trading day period prior to July 1, 2028. The Reporting Person's right to receive additional shares pursuant to this earn-out became fixed and irrevocable on July 1, 2021, the effective date of the merger. These shares are held by The Bridge Water Trust, Fire Stone Family Trust and The Cherry Tree Trust. The Reporting Person disclaims beneficial ownership with respect to the shares held by these trusts, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. These shares are held by KEM Lily LLC, KEM Phoenix LLC and KEM Rose LLC. The Reporting Person disclaims beneficial ownership with respect to the shares held by these limited liability companies, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. The shares underlying this option are fully vested. 25% of the shares underlying this option vested on January 10, 2020 and the remaining 75% of the shares underlying this option vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each vesting date. 25% of the shares underlying this option will vest on August 12, 2021 and the remaining 75% of the shares underlying this option vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each vesting date. /s/ Katie A. Kazem, attorney-in-fact 2021-08-02