AVPT

SEC source: 0001437749-24-038376 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,747

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-038379 · rdgdoc.xml · nonDerivative · entry 1

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 309,561

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

F2 · balance_after: Includes non-RSU common stock as well as unvested RSUs held by the Reporting Person subject to the vesting schedule previously reported on Table I of Form 4 filed with the Securities and Exchange Commission on June 4, 2024.

SEC source: 0001437749-24-038380 · rdgdoc.xml · nonDerivative · entry 1

Ho John Chi On · CIK 0001865775 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Balmoral Blue Limited

Disclosed balance after: 4,286,024

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-038374 · rdgdoc.xml · derivative · entry 6

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,502,767

Underlying: Common Stock · 30,000 shares

Expires 2026-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001437749-24-038374 · rdgdoc.xml · nonDerivative · entry 5

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Zenaba, LLC

Disclosed balance after: 4,440

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 20, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-038374 · rdgdoc.xml · nonDerivative · entry 3

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,320,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: This security represents options to purchase the Issuer's common stock granted to the Reporting Person under the Issuer's 2016 Equity Incentive Plan that have been exercised.

SEC source: 0001437749-24-038374 · rdgdoc.xml · nonDerivative · entry 2

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,290,219

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001437749-24-038374 · rdgdoc.xml · nonDerivative · entry 1

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,300,906

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 20, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-038373 · rdgdoc.xml · nonDerivative · entry 4

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by trusts and LLCs

Disclosed balance after: 15,911,719

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

F4 · balance_after: Includes (i) 4,465,861 shares held by Capella 2023 GRAT, (ii) 3,985,936 shares held by River Valley, Ltd., (iii) 3,289,396 shares held by Capella 2022 GRAT, (iv) 2,678,631 shares held by Red Kite, LLC, (v) 1,187,786 shares held by Capella 2022 GRAT II, (vi) 172,000 shares held by the Reporting Person's spouse, and (vii) 132,109 shares held by Capella 2021 GRAT. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, 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 the reported shares for the purposes of Section 16 or for any other purpose.

SEC source: 0001437749-24-038373 · rdgdoc.xml · nonDerivative · entry 2

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 556,249

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001437749-24-038373 · rdgdoc.xml · nonDerivative · entry 1

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 571,738

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-038375 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 729,529

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001437749-24-038375 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 796,364

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-038371 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 588,410

F2 · shares: 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.

SEC source: 0001437749-24-038371 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 588,981

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $17.50 over any 20 trading days within any 30 day trading day period ("Third Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options shall, including the Reporting Person, be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 18, 2024, the date the Third Milestone was achieved.

SEC source: 0001437749-24-037675 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,864

F1 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes aggregate vested and unvested RSUs held by the Reporting Person. Previously, the Reporting Person was granted an aggregate of 151,354 RSUs. Each of the Reporting Person's RSU grant awards vest on the following schedule: 25% after 1 year and the remaining vest in 12 equal quarterly installments thereafter.

SEC source: 0001437749-24-037674 · rdgdoc.xml · nonDerivative · entry 1

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,277,211

F1 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: 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.

SEC source: 0001437749-24-037676 · rdgdoc.xml · nonDerivative · entry 1

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 532,378

F1 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes 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 on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.

SEC source: 0001437749-24-037677 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 665,707

F1 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes 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 on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.

SEC source: 0001437749-24-037673 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 587,530

F1 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: 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.

SEC source: 0001437749-25-003344 · rdgdoc.xml · nonDerivative · entry 1

Epstein Jeff · CIK 0001228718 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,569,153

F1 · shares: Represents shares received in a pro rata distribution from Apex Technology Sponsor LLC, of which the reporting person is a member.

F2 · balance_after: Includes non-RSU common stock as well as unvested RSUs held by the Reporting Person subject to the vesting schedule previously reported on Table I of Form 4 filed with the Securities and Exchange Commission on June 4, 2024.

SEC source: 0001437749-24-037360 · rdgdoc.xml · nonDerivative · entry 5

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Trusts and LLCs

Disclosed balance after: 18,487,863

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

F5 · balance_after: Includes (i) 7,183,806 shares held by KEM Phoenix LLC, (ii) 6,422,273 shares held by Fire Stone Family Trust, (iii) 1,626,995 shares held by The Bridge Water Trust, (iv) 1,626,995 shares held by The Cherry Tree Trust, (v) 813,897 shares held by KEM Lily LLC, and (vi) 813,897 shares held by KEM Rose LLC. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, 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 the reported shares for the purposes of Section 16 or for any other purpose.

SEC source: 0001437749-24-037360 · rdgdoc.xml · nonDerivative · entry 4

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Trusts and LLCs

Disclosed balance after: 18,374,319

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037360 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,069

F3 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F4 · balance_after: Includes aggregate vested and unvested RSUs held by the Reporting Person. Previously, the Reporting Person was granted an aggregate of 151,354 RSUs. Each of the Reporting Person's RSU grant awards vest on the following schedule: 25% after 1 year and the remaining vest in 12 equal quarterly installments thereafter.

SEC source: 0001437749-24-037360 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,438

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

SEC source: 0001437749-24-037360 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,557

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037362 · rdgdoc.xml · nonDerivative · entry 2

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 314,007

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

F3 · balance_after: Includes non-RSU common stock as well as unvested RSUs held by the Reporting Person subject to the vesting schedule previously reported on Table I of Form 4 filed with the Securities and Exchange Commission on June 4, 2024.

SEC source: 0001437749-24-037362 · rdgdoc.xml · nonDerivative · entry 1

Teper Jeff · CIK 0001865698 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,007

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037365 · rdgdoc.xml · nonDerivative · entry 2

Ho John Chi On · CIK 0001865775 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Balmoral Blue Limited

Disclosed balance after: 4,262,653

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

SEC source: 0001437749-24-037365 · rdgdoc.xml · nonDerivative · entry 1

Ho John Chi On · CIK 0001865775 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Balmoral Blue Limited

Disclosed balance after: 4,239,282

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037361 · rdgdoc.xml · nonDerivative · entry 5

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Zenaba, LLC

Disclosed balance after: 2,960

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

SEC source: 0001437749-24-037361 · rdgdoc.xml · nonDerivative · entry 4

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Zenaba, LLC

Disclosed balance after: 1,480

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037361 · rdgdoc.xml · nonDerivative · entry 3

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,282,221

F3 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F4 · balance_after: 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.

SEC source: 0001437749-24-037361 · rdgdoc.xml · nonDerivative · entry 2

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,303,603

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

SEC source: 0001437749-24-037361 · rdgdoc.xml · nonDerivative · entry 1

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,279,906

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-037358 · rdgdoc.xml · nonDerivative · entry 5

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by trusts and LLCs

Disclosed balance after: 15,824,910

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

F4 · balance_after: Includes (i) 4,465,861 shares held by Capella 2023 GRAT, (ii) 3,958,101 shares held by River Valley, Ltd., (iii) 3,289,396 shares held by Capella 2022 GRAT, (iv) 2,663,680 shares held by Red Kite, LLC, (v) 1,187,786 shares held by Capella 2022 GRAT II, (vi) 172,000 shares held by the Reporting Person's spouse, and (vii) 88,086 shares held by Capella 2021 GRAT. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, 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 the reported shares for the purposes of Section 16 or for any other purpose.

SEC source: 0001437749-24-037358 · rdgdoc.xml · nonDerivative · entry 4

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by trusts and LLCs

Disclosed balance after: 15,738,101

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-037358 · rdgdoc.xml · nonDerivative · entry 3

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 535,292

F5 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: Includes 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 on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.

SEC source: 0001437749-24-037358 · rdgdoc.xml · nonDerivative · entry 2

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 566,280

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-037358 · rdgdoc.xml · nonDerivative · entry 1

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,924

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-037357 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 669,495

F3 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F4 · balance_after: Includes 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 on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.

SEC source: 0001437749-24-037357 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 803,224

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-037357 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 672,566

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved. Shares granted hereunder to the Reporting Person are being restricted pending completion of the HSR process.

SEC source: 0001437749-24-037366 · rdgdoc.xml · nonDerivative · entry 3

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 593,650

F3 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F4 · balance_after: 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.

SEC source: 0001437749-24-037366 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 594,793

F2 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $15.00 over any 20 trading days within any 30 day trading day period ("Second Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options shall, including the Reporting Person, be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 9, 2024, the date the Second Milestone was achieved.

SEC source: 0001437749-24-037366 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 593,342

F1 · shares: Under the business combination agreement and plan of reorganization with Apex Technology Acquisition Corporation, Inc. and the other parties thereto, as amended, if at any time from July 1, 2021 through July 1, 2028, AvePoint's closing stock price is greater than or equal to $12.50 over any 20 trading days within any 30 day trading day period ("First Milestone"), certain holders of AvePoint common stock and certain holders of AvePoint options, including the Reporting Person, shall be issued up to 1,000,000 shares of AvePoint common stock in the aggregate. The price was determined to be the closing price on December 3, 2024, the date the First Milestone was achieved.

SEC source: 0001437749-24-036465 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,673

F1 · security: 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.

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: Includes aggregate vested and unvested RSUs held by the Reporting Person. Previously, the Reporting Person was granted an aggregate of 151,354 RSUs. Each of the Reporting Person's RSU grant awards vest on the following schedule: 25% after 1 year and the remaining vest in 12 equal quarterly installments thereafter.

SEC source: 0001437749-24-036461 · rdgdoc.xml · nonDerivative · entry 1

Brown Brian Michael · CIK 0001865783 · Director · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,256,196

F1 · security: This 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.

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: 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.

SEC source: 0001437749-24-036462 · rdgdoc.xml · nonDerivative · entry 1

Jiang Tianyi · CIK 0001865596 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 487,533

F1 · security: This 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.

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: Includes aggregate vested and unvested RSUs held by the Reporting Person subject to the vesting schedules previously reported on Table I on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.

SEC source: 0001437749-24-036464 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 551,742

F1 · security: 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

F2 · shares: 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 securities and does not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: Includes aggregate vested and unvested RSUs held by the Reporting Person subject to the vesting schedules previously reported on Table I on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021, March 22, 2022, March 23, 2023 and March 7, 2024.