AVPT

SEC source: 0001437749-21-021490 · rdgdoc.xml · nonDerivative · entry 1

CuUnjieng Stephen · CIK 0001297558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,598

F1 · security: This security represents 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.

F2 · shares: 100% of the RSUs will vest on September 1, 2022, subject to the Reporting Person's continued service with the Issuer as of that vesting date.

SEC source: 0001437749-21-020544 · rdgdoc.xml · nonDerivative · entry 4

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 17,079,834

F5 · balance_after: This represents the aggregate share holdings of the Reporting Person as of the date hereof, consisting of (i) 7,755,257 shares held by the Capella 2021 GRAT, of which the Reporting Person is trustee, (ii) 3,902,404 shares held by River Valley Ltd, (iii) 2,633,766 shares held by Red Kite LLC, (iv) 825,983 shares underlying options exercisable within 60 days of July 1, 2021, (v) 100,000 shares held by Reporting Person's spouse, and (vi) 1,862,424 shares which the Reporting Person is entitled to receive on the earlier of (A) July 1, 2022 and (B) specified events including change of control of the Issuer, separation of service and the Reporting Person's disability or death, pursuant to an agreement with the Issuer dated June 30, 2021.

F4 · ownership.nature: These shares are held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership with respect to the shares held by his spouse, except to the extent 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.

SEC source: 0001209191-21-045547 · doc4.xml · nonDerivative · entry 2

Ho John Chi On · CIK 0001865775 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,215,890

F4 · shares: These shares were purchased from the Issuer in a private placement.

F3 · ownership.nature: These shares are held by Balmoral Blue Limited. The Reporting Person disclaims beneficial ownership with respect to the shares held by Balmoral Blue Limited except to the extent 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.

SEC source: 0001209191-21-045547 · doc4.xml · nonDerivative · entry 1

Ho John Chi On · CIK 0001865775 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,015,890

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: These shares are held by Balmoral Blue Limited. The Reporting Person disclaims beneficial ownership with respect to the shares held by Balmoral Blue Limited except to the extent 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.

SEC source: 0001209191-21-045543 · doc4.xml · derivative · entry 3

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,055

Underlying: Common Stock · 66,055 shares

Expires 2030-08-12

F1 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045543 · doc4.xml · derivative · entry 2

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,208

Underlying: Common Stock · 198,208 shares

Expires 2030-08-12

F2 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045543 · doc4.xml · derivative · entry 1

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,333

Underlying: Common Stock · 264,333 shares

Expires 2024-12-31

F1 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045538 · doc4.xml · derivative · entry 3

Yong Andy · CIK 0001865635 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,185

Underlying: Common Stock · 65,185 shares

Expires 2030-08-12

F4 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045538 · doc4.xml · derivative · entry 2

Yong Andy · CIK 0001865635 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,843

Underlying: Common Stock · 412,843 shares

Expires 2030-08-12

F3 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045538 · doc4.xml · nonDerivative · entry 1

Yong Andy · CIK 0001865635 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,759

F1 · shares: 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.

F2 · 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.

SEC source: 0001209191-21-045533 · doc4.xml · derivative · entry 6

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,480

Underlying: Common Stock · 282,480 shares

Expires 2030-08-12

F4 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045533 · doc4.xml · derivative · entry 5

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 794,702

Underlying: Common Stock · 794,702 shares

Expires 2030-08-12

F6 · derivative.exercise_date: 25% of the shares underlying this will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045533 · doc4.xml · derivative · entry 4

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,647

Underlying: Common Stock · 190,647 shares

Expires 2029-01-10

F5 · derivative.exercise_date: 25% of the shares underlying this option vested on January 10, 2020; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045533 · doc4.xml · derivative · entry 3

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,803

Underlying: Common Stock · 82,803 shares

Expires 2026-07-01

F4 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045533 · doc4.xml · nonDerivative · entry 2

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,822,792

F3 · shares: Pursuant to an agreement between the Issuer and the reporting person, dated as of June 30, 2021, the reporting person is entitled to receive these shares on the earlier of (i) July 1, 2022 and (ii) specified events including change of control of the Issuer, separation of service and the reporting person's disability or death.

SEC source: 0001209191-21-045533 · doc4.xml · nonDerivative · entry 1

Brown Brian Michael · CIK 0001865783 · Director · COO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,304

F1 · shares: 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.

F2 · 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.

SEC source: 0001209191-21-045529 · doc4.xml · derivative · entry 7

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,840

Underlying: Common Stock · 259,840 shares

Expires 2030-08-12

F6 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045529 · doc4.xml · derivative · entry 6

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,913,701

Underlying: Common Stock · 2,913,701 shares

Expires 2030-08-12

F8 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045529 · doc4.xml · derivative · entry 5

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,486

Underlying: Common Stock · 521,486 shares

Expires 2029-01-10

F7 · derivative.exercise_date: 25% of the shares underlying this option vested on January 10, 2020; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045529 · doc4.xml · derivative · entry 4

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 869,144

Underlying: Common Stock · 869,144 shares

Expires 2026-07-01

F6 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045529 · doc4.xml · nonDerivative · entry 3

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,617,681

F5 · shares: Pursuant to an agreement between the Issuer and the reporting person, dated as of June 30, 2021, the reporting person is entitled to receive these shares on the earlier of (i) July 1, 2022 and (ii) specified events including change of control of the Issuer, separation of service and the reporting person's disability or death.

SEC source: 0001209191-21-045529 · doc4.xml · nonDerivative · entry 2

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By GRAT

Disclosed balance after: 7,755,257

F1 · shares: 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.

F2 · 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.

F4 · ownership.nature: These shares are held by the Capella 2021 GRAT (the "GRAT"). The Reporting Person disclaims beneficial ownership with respect to the shares held by the GRAT, except to the extent her 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

SEC source: 0001209191-21-045529 · doc4.xml · nonDerivative · entry 1

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLCs

Disclosed balance after: 6,536,170

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: 2,633,766 of these shares are held by Red Kite LLC, and 3,902,404 of these shares are held by River Valley Ltd. The Reporting Person disclaims beneficial ownership with respect to the shares held by each of the limited liability companies, except to the extent her 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.

SEC source: 0001209191-21-045536 · doc4.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 168,117

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: These shares are held by the Reporting Person' spouse. The Reporting Person disclaims beneficial ownership with respect to the shares held by her spouse 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.

SEC source: 0001209191-21-045526 · doc4.xml · derivative · entry 6

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,184

Underlying: Common Stock · 444,184 shares

Expires 2030-08-12

F5 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045526 · doc4.xml · derivative · entry 5

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,860,212

Underlying: Common Stock · 1,860,212 shares

Expires 2030-08-12

F7 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045526 · doc4.xml · derivative · entry 4

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,486

Underlying: Common Stock · 521,486 shares

Expires 2029-01-10

F6 · derivative.exercise_date: 25% of the shares underlying this option vested on January 10, 2020; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-045526 · doc4.xml · derivative · entry 3

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 949,453

Underlying: Common Stock · 949,453 shares

Expires 2026-07-01

F5 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045526 · doc4.xml · nonDerivative · entry 2

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trusts

Disclosed balance after: 11,406,776

F1 · shares: 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.

F2 · 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.

F4 · ownership.nature: 7,384,552 of these shares are held by G Sonata Trust; 2,011,112 of these shares are held by The Purple Cove Trust and 2,011,112 of these shares are held by The Purple Harbor Trust. The Reporting Person is the Trustee of the Trusts being reported herein. The Reporting Person disclaims beneficial ownership with respect to the shares being reported herein, except to the extent 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.

SEC source: 0001209191-21-045526 · doc4.xml · nonDerivative · entry 1

Gong Xunkai · CIK 0001865618 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLCs

Disclosed balance after: 5,832,858

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: 804,757 of these shares are held by Cadenza Holdings LLC; 4,788,670 of these shares are held by Gicoso Holdings LLC; and 239,431 of these shares are held by Vivace Holdings LLC. The Reporting Person disclaims beneficial ownership with respect to the shares held by each of the limited liability companies being reported herein, except to the extent 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.

SEC source: 0001209191-21-045541 · doc4.xml · derivative · entry 2

CuUnjieng Stephen · CIK 0001297558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,055

Underlying: Common Stock · 66,055 shares

Expires 2030-08-12

F2 · derivative.exercise_date: This option is fully vested and immediately exercisable.

SEC source: 0001209191-21-045541 · doc4.xml · derivative · entry 1

CuUnjieng Stephen · CIK 0001297558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,208

Underlying: Common Stock · 198,208 shares

Expires 2030-08-12

F1 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.

SEC source: 0001209191-21-049059 · doc4.xml · derivative · entry 6

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,257

Underlying: Common Stock · 264,257 shares

Expires 2030-08-12

F7 · derivative.exercise_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.

SEC source: 0001209191-21-049059 · doc4.xml · derivative · entry 5

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,115

Underlying: Common Stock · 391,115 shares

Expires 2029-01-10

F6 · derivative.exercise_date: 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.

SEC source: 0001209191-21-049059 · doc4.xml · derivative · entry 4

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,616

Underlying: Common Stock · 505,616 shares

Expires 2026-07-01

F5 · derivative.exercise_date: The shares underlying this option are fully vested.

SEC source: 0001209191-21-049059 · doc4.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLCs

Disclosed balance after: 18,552,065

F1 · shares: 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.

F2 · 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.

F4 · ownership.nature: 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.

SEC source: 0001209191-21-049059 · doc4.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trusts

Disclosed balance after: 9,759,546

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: 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.

SEC source: 0001209191-21-049059 · doc4.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,392

F1 · shares: 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.

F2 · 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.

SEC source: 0001209191-21-049053 · doc4a.xml · derivative · entry 4

Wu Sophia · CIK 0001865562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,284

Underlying: Common Stock · 217,284 shares

Expires 2030-08-12

F6 · derivative.exercise_date: 25% of the shares underlying this option vest on August 12, 2021 and the remaining 75% of the shares underlying this option will vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service at each vesting date.

SEC source: 0001209191-21-049053 · doc4a.xml · derivative · entry 3

Wu Sophia · CIK 0001865562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,526

Underlying: Common Stock · 28,526 shares

Expires 2029-01-10

F5 · derivative.exercise_date: 25% of the shares underlying this option vested on January 10, 2020 and the remaining 75% of the shares underlying this option have vested or will vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service at each vesting date.

SEC source: 0001209191-21-049053 · doc4a.xml · derivative · entry 2

Wu Sophia · CIK 0001865562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,025

Underlying: Common Stock · 38,025 shares

Expires 2028-09-02

F4 · derivative.exercise_date: 25% of the shares underlying this option vested on September 3, 2019 and the remaining 75% of the shares underlying this option have vested or will vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service at each vesting date.

SEC source: 0001209191-21-049053 · doc4a.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 168,117

F1 · shares: 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.

F2 · 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.

F3 · ownership.nature: These shares are held by the Reporting Person' spouse. The Reporting Person disclaims beneficial ownership with respect to the shares held by her spouse 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.

SEC source: 0001437749-22-021006 · rdgdoc.xml · nonDerivative · entry 1

Epstein Jeff · CIK 0001228718 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,598

F1 · shares: Represents 50,000 shares of common stock purchased from the Issuer in a private placement in connection with the business combination between Apex Technology Acquisition Corporation and AvePoint, Inc. which closed on July 1, 2021.

SEC source: 0001213900-19-018661 · ownership.xml · derivative · entry 2

Apex Technology Sponsor LLC · CIK 0001783384 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750,000

Underlying: Class A Common Stock · 18,750 shares

Expires not disclosed

F3 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-227300) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F4 · kind: As contemplated in connection with the initial public offering of the issuer, 18,750 shares of Class B common stock of the issuer were returned by the reporting person to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.

F3 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-227300) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

F3 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-227300) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights and has no expiration date.

SEC source: 0001213900-19-018661 · ownership.xml · nonDerivative · entry 1

Apex Technology Sponsor LLC · CIK 0001783384 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 657,500

F1 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and one half of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by Apex Technology Sponsor LLC (the "Sponsor"), acquired pursuant to a unit subscription agreement by and between the Sponsor and the issuer. Does not include 8,750,000 shares of Class B common stock, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · balance_after: These shares are underlying units (each unit consisting of one share of Class A common stock and one half of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by Apex Technology Sponsor LLC (the "Sponsor"), acquired pursuant to a unit subscription agreement by and between the Sponsor and the issuer. Does not include 8,750,000 shares of Class B common stock, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · ownership.direct: Each of the issuer's officers, directors and advisors is, directly or indirectly, a member of the Sponsor. There are three managing members of the Sponsor. Each managing member of the Sponsor has one vote, and the approval of two of the three managing members is required to approve an action of the Sponsor. No individual managing member of the Sponsor exercises voting or dispositive control over any of the securities held by the Sponsor, even those in which he directly holds a pecuniary interest. Accordingly, none of them will be deemed to have or share beneficial ownership of such shares.