Wu Sophia

SEC source: 0001437749-21-029089 · rdgdoc.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,343

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Represents 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.

SEC source: 0001437749-21-028492 · rdgdoc.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,343

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: 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 do not represent a discretionary transaction by the Reporting Person.

F3 · balance_after: Represents 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.

SEC source: 0001437749-21-027493 · rdgdoc.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,499

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Represents 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.

SEC source: 0001437749-21-023340 · rdgdoc.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,499

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: 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.

F3 · balance_after: Represents 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.

SEC source: 0001437749-21-021498 · rdgdoc.xml · derivative · entry 3

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,981

Underlying: Common Stock · 124,981 shares

Expires 2031-09-01

F4 · derivative.exercise_date: 25% of the shares underlying this option will vest on September 1, 2022; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

SEC source: 0001437749-21-021498 · rdgdoc.xml · nonDerivative · entry 2

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,336

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.

F3 · shares: 50% of the RSUs vested immediately on September 1, 2021; the remaining RSUs vest in 8 equal quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date. On September 1, 2021 the Reporting Person vested in 103,735 shares.

SEC source: 0001437749-21-021498 · rdgdoc.xml · nonDerivative · entry 1

Wu Sophia · CIK 0001865562 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,867

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: 25% of the RSUs will vest on September 1, 2022; the remaining RSUs vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

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: 0001209191-21-049053 · 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.