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Caci James

Disclosed activity across 1 company

Tapewire entity
37703
SEC CIK
0001367794

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AvePoint, Inc.

Report date September 11, 2026 · Filed September 15, 2026

Section 16 reporting ended · disclosed 2022-04-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect683,506 Last balance in matching sequence After 2026-09-14 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2026-09-11 · Tax withholding · Disposed 6,120 · Balance 686,023

F1: 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: 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: 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, March 7, 2024, March 18, 2025, and March 18, 2026.

Row 2 · 2026-09-14 · Tax withholding · Disposed 2,517 · Balance 683,506

F1: 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: 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: 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, March 7, 2024, March 18, 2025, and March 18, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: 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: 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: 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, March 7, 2024, March 18, 2025, and March 18, 2026.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 14, 2026 Filed Sep 15, 2026 20:53 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,517 $13.60 $34,231.20
Disclosure

SEC source: 0001437749-26-030460 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 683,506

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
September 11, 2026 Filed Sep 15, 2026 20:53 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $12.66 $77,479.20
Disclosure

SEC source: 0001437749-26-030460 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 686,023

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
September 04, 2026 Filed Sep 9, 2026 23:02 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 3,957 $13.43 $53,142.51
Disclosure

SEC source: 0001437749-26-030010 · rdgdoc.xml · nonDerivative · entry 3

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 692,143

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
September 04, 2026 Filed Sep 9, 2026 23:02 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 1,369 $13.43 $18,385.67
Disclosure

SEC source: 0001437749-26-030010 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 696,100

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
September 04, 2026 Filed Sep 9, 2026 23:02 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 388 $13.43 $5,210.84
Disclosure

SEC source: 0001437749-26-030010 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 697,469

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 22:36 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,517 $10.87 $27,359.79
Disclosure

SEC source: 0001437749-26-020837 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 697,857

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
June 12, 2026 Filed Jun 16, 2026 22:36 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $10.87 $66,524.40
Disclosure

SEC source: 0001437749-26-020837 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 700,374

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
June 05, 2026 Filed Jun 9, 2026 22:29 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 388 $10.74 $4,167.12
Disclosure

SEC source: 0001437749-26-020050 · rdgdoc.xml · nonDerivative · entry 3

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 706,494

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
June 05, 2026 Filed Jun 9, 2026 22:29 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 1,369 $10.74 $14,703.06
Disclosure

SEC source: 0001437749-26-020050 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 706,882

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
June 05, 2026 Filed Jun 9, 2026 22:29 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 3,957 $10.74 $42,498.18
Disclosure

SEC source: 0001437749-26-020050 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 708,251

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
March 20, 2026 Filed Mar 24, 2026 23:08 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,823 $10.30 $29,076.90
Disclosure

SEC source: 0001437749-26-009655 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 712,208

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, March 7, 2024, March 18, 2025, and March 18, 2026.

Read SEC document
March 13, 2026 Filed Mar 17, 2026 23:54 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 10,066 $10.43 $104,988.38
Disclosure

SEC source: 0001437749-26-008702 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 420,354

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, March 7, 2024 and March 18, 2025.

Read SEC document
March 13, 2026 Filed Mar 17, 2026 23:54 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $10.43 $63,831.60
Disclosure

SEC source: 0001437749-26-008702 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 430,420

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, March 7, 2024 and March 18, 2025.

Read SEC document
March 13, 2026 Filed Mar 19, 2026 00:50 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 73,669 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-008914 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 715,031

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.

F4 · shares: Represents performance-based RSUs ("PRSUs") based upon two metrics: Annual recurring revenue compounded annual growth rate for the years 2026-2028 (70% weighted) and FY 2028 GAAP profitability (30% weighted). Actual payouts may represent 50% to 200% of granted value. These PRSUs will fully vest upon certification of the actual payouts by the Issuer's Compensation Committee after the performance period ends.

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, March 7, 2024, and March 18, 2025.

Read SEC document
March 13, 2026 Filed Mar 19, 2026 00:50 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 221,008 $0.00 $0.00
Disclosure

SEC source: 0001437749-26-008914 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 641,362

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: 25% of the RSUs will vest on March 15, 2027, and the remaining RSUs will vest in 12 quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date. Each vesting event will occur on the 15th day of the applicable vesting month, or, if not a business day, the next business day.

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, March 7, 2024, and March 18, 2025.

Read SEC document
March 05, 2026 Filed Mar 9, 2026 21:53 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 18,005 $11.29 $203,276.45
Disclosure

SEC source: 0001437749-26-007395 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 436,540

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.

F4 · 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, March 7, 2024 and March 18, 2025.

Read SEC document
March 05, 2026 Filed Mar 9, 2026 21:53 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 17,775 $11.29 $200,679.75
Disclosure

SEC source: 0001437749-26-007395 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,545

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: Represents the additional shares of the Issuer's common stock to be received by the Reporting Person based on the performance conditions of the performance-based RSUs ("PRSUs") previously reported on the Form 4 filed with the Securities and Exchange Commission on March 18, 2025. Future vesting of the PRSUs is subject to their performance conditions as well as continuous employment 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, March 7, 2024 and March 18, 2025.

Read SEC document
December 19, 2025 Filed Dec 23, 2025 22:56 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,823 $13.94 $39,352.62
Disclosure

SEC source: 0001437749-25-038748 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,307

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, March 7, 2024 and March 18, 2025.

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December 12, 2025 Filed Dec 16, 2025 22:11 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $13.89 $85,006.80
Disclosure

SEC source: 0001437749-25-038038 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,130

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, March 7, 2024 and March 18, 2025.

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December 05, 2025 Filed Dec 9, 2025 22:50 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 3,957 $13.40 $53,023.80
Disclosure

SEC source: 0001437749-25-037291 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,250

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, March 7, 2024 and March 18, 2025.

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September 19, 2025 Filed Sep 23, 2025 21:00 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,823 $15.67 $44,236.41
Disclosure

SEC source: 0001437749-25-029744 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,207

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, March 7, 2024 and March 18, 2025.

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September 18, 2025 Filed Sep 22, 2025 23:01 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 216,000 $15.21 $3,285,360.00
Disclosure

SEC source: 0001437749-25-029637 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,030

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: The reported sale of shares was made pursuant to the Company's secondary listing on the Singapore Exchange Securities Trading Limited ("SGX-ST") on September 18, 2025. The sale was executed to facilitate initial liquidity in connection with the SGX-ST listing. The reporting person undertook the transaction in accordance with Rule 144 and applicable insider trading policies. No shares were sold on NASDAQ in connection with this transaction.

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, March 7, 2024 and March 18, 2025.

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September 12, 2025 Filed Sep 16, 2025 21:26 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $15.61 $95,533.20
Disclosure

SEC source: 0001437749-25-029200 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 668,493

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, March 7, 2024 and March 18, 2025.

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September 05, 2025 Filed Sep 9, 2025 20:09 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 3,957 $16.27 $64,380.39
Disclosure

SEC source: 0001437749-25-028682 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667,833

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 RSUs 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, March 7, 2024, and March 18, 2025.

Read SEC document
June 20, 2025 Filed Jun 24, 2025 10:15 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,823 $17.96 $50,701.08
Disclosure

SEC source: 0001437749-25-021082 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 671,790

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, March 7, 2024 and March 18, 2025.

Read SEC document
June 13, 2025 Filed Jun 17, 2025 20:10 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $18.59 $113,770.80
Disclosure

SEC source: 0001437749-25-020637 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 674,613

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, March 7, 2024 and March 18, 2025.

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June 05, 2025 Filed Jun 9, 2025 20:11 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 3,957 $18.95 $74,985.15
Disclosure

SEC source: 0001437749-25-019851 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 680,733

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 RSUs 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, March 7, 2024, and March 18, 2025.

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March 21, 2025 Filed Mar 25, 2025 21:45 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,824 $15.05 $42,501.20
Disclosure

SEC source: 0001437749-25-009208 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 684,690

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 RSUs 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, March 7, 2024, and March 18, 2025.

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March 13, 2025 Filed Mar 17, 2025 21:05 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $13.79 $84,394.80
Disclosure

SEC source: 0001437749-25-008033 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 551,089

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.

Read SEC document
December 31, 2024 Filed Jan 3, 2025 21:34 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,552 $16.51 $42,133.52
Disclosure

SEC source: 0001437749-25-000245 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 583,034

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 RSUs 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.

Read SEC document
December 21, 2024 Filed Dec 26, 2024 21:02 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,824 $17.89 $50,521.36
Disclosure

SEC source: 0001437749-24-038371 · rdgdoc.xml · nonDerivative · entry 3

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 585,586

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: 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.

Read SEC document
December 20, 2024 Filed Dec 26, 2024 21:02 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 571 $17.89 $10,215.19
Disclosure

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.

Read SEC document
December 20, 2024 Filed Dec 26, 2024 21:02 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 1,451 $17.76 $25,769.76
Disclosure

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.

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December 13, 2024 Filed Dec 17, 2024 02:07 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $18.37 $112,424.40
Disclosure

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.

Read SEC document
December 10, 2024 Filed Dec 12, 2024 21:28 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 1,143 $18.53 $21,179.79
Disclosure

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.

Read SEC document
December 10, 2024 Filed Dec 12, 2024 21:28 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 1,451 $18.53 $26,887.03
Disclosure

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.

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December 10, 2024 Filed Dec 12, 2024 21:28 UTC AvePoint, Inc. AVPT · Entity 746 GrantCommon Stock 1,452 $18.22 $26,455.44
Disclosure

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.

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November 20, 2024 Filed Nov 22, 2024 01:31 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 20,215 $17.12 $346,080.80
Disclosure

SEC source: 0001437749-24-035993 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 591,890

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: This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on 12-08-2023.

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.

Read SEC document
September 30, 2024 Filed Oct 1, 2024 17:10 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,552 $11.77 $30,037.04
Disclosure

SEC source: 0001437749-24-030327 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 612,105

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 RSUs 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.

Read SEC document
September 21, 2024 Filed Sep 23, 2024 22:52 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,824 $11.94 $33,718.56
Disclosure

SEC source: 0001437749-24-029859 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 614,657

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 RSUs 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.

Read SEC document
September 13, 2024 Filed Sep 16, 2024 20:20 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $11.90 $72,828.00
Disclosure

SEC source: 0001437749-24-029289 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 617,481

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 RSUs 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.

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August 20, 2024 Filed Aug 22, 2024 01:02 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 30,000 $10.91 $327,300.00
Disclosure

SEC source: 0001437749-24-027515 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 630,084

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: This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on 12-08-2023.

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.

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June 30, 2024 Filed Jul 2, 2024 00:51 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,552 $10.42 $26,591.84
Disclosure

SEC source: 0001437749-24-021834 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,084

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 RSUs 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.

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June 21, 2024 Filed Jun 26, 2024 01:39 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,824 $10.05 $28,381.20
Disclosure

SEC source: 0001437749-24-021214 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 656,153

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 RSUs 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.

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June 13, 2024 Filed Jun 15, 2024 01:07 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 6,120 $9.03 $55,263.60
Disclosure

SEC source: 0001437749-24-020420 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 658,977

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 RSUs 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.

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May 20, 2024 Filed May 21, 2024 22:24 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 20,000 $9.12 $182,400.00
Disclosure

SEC source: 0001437749-24-017890 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 665,097

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: This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1(c) trading plan adopted by the Reporting Person on 12-08-2023.

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.

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May 20, 2024 Filed May 21, 2024 22:24 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 20,000 $8.96 $179,200.00
Disclosure

SEC source: 0001437749-24-017890 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 685,097

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: This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1(c) trading plan adopted by the Reporting Person on 12-08-2023.

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.

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March 31, 2024 Filed Apr 1, 2024 20:33 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,552 $7.44 $18,986.88
Disclosure

SEC source: 0001437749-24-010382 · rdgdoc.xml · nonDerivative · entry 1

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 705,097

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 RSUs 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.

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March 21, 2024 Filed Mar 22, 2024 23:33 UTC AvePoint, Inc. AVPT · Entity 746 Tax withholdingCommon Stock 2,824 $8.03 $22,676.72
Disclosure

SEC source: 0001437749-24-009078 · rdgdoc.xml · nonDerivative · entry 3

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 707,649

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.

F4 · 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: 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.

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March 21, 2024 Filed Mar 22, 2024 23:33 UTC AvePoint, Inc. AVPT · Entity 746 SaleCommon Stock 6,939 $8.00 $55,517.55
Disclosure

SEC source: 0001437749-24-009078 · rdgdoc.xml · nonDerivative · entry 2

Caci James · CIK 0001367794 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 710,473

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: This sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1(c) trading plan adopted by the Reporting Person on 12-08-2023.

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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.