Lu Zhijian

SEC source: 0001437749-25-021083 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · No longer a 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,562

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: 0001437749-25-020691 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,283

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: 0001437749-25-019852 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 184,488

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: 0001437749-25-019153 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,398

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: 0001437749-25-006704 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,984

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. 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: 0001437749-25-006137 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,620

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: 0001437749-24-038376 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 190,206

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 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: 0001437749-24-038376 · 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: 18,601,408

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) 7,224,581 shares held by KEM Phoenix LLC, (ii) 6,467,643 shares held by Fire Stone Family Trust, (iii) 1,636,127 shares held by The Bridge Water Trust, (iv) 1,636,127 shares held by The Cherry Tree Trust, (v) 818,465 shares held by KEM Lily LLC, and (vi) 818,465 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: 0001437749-24-038376 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,226

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: 0001437749-24-038376 · 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: 0001437749-24-037675 · 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: 0001437749-24-037360 · 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: 0001437749-24-036465 · 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: 0001437749-24-035991 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,260,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,331,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-035991 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,270,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-035991 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,280,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-035674 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,290,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,361,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-035674 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,300,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-035674 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,310,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-031670 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,320,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,391,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-031670 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,330,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-031670 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,340,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-031400 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,350,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,421,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-031400 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,360,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-031400 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,370,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-029857 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,380,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,451,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-029857 · rdgdoc.xml · nonDerivative · entry 4

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 181,259

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

F5 · 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: 0001437749-24-029857 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,390,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-029857 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,400,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-029505 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,410,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,481,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-029505 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,420,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-029505 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,430,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-029285 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,980

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: 0001437749-24-028416 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,185

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: 0001437749-24-027792 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,410,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,511,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-027792 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,420,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-027792 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,430,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-027516 · rdgdoc.xml · nonDerivative · entry 3

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,440,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

F2 · balance_after: Includes (i) 7,102,219 shares held by KEM Phoenix LLC, (ii) 6,541,492 shares held by Fire Stone Family Trust, (iii) 1,608,724 shares held by The Bridge Water Trust, (iv) 1,608,724 shares held by The Cherry Tree Trust, (v) 804,757 shares held by KEM Lily LLC, and (vi) 804,757 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: 0001437749-24-027516 · rdgdoc.xml · nonDerivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,450,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-24-027516 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Trusts and LLCs

Disclosed balance after: 18,460,673

F1 · shares: The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 19, 2024.

SEC source: 0001437749-21-021501 · rdgdoc.xml · derivative · entry 2

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,491

Underlying: Common Stock · 62,491 shares

Expires 2031-09-01

F3 · 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: 0001437749-21-021501 · rdgdoc.xml · nonDerivative · entry 1

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,326

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.

F4 · balance_after: Includes 51,392 shares of non-RSU Common Stock.

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

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,257

Underlying: Common Stock · 264,257 shares

Expires 2030-08-12

F7 · derivative.exercise_date: 25% of the shares underlying this option will vest on August 12, 2021 and the remaining 75% of the shares underlying this option vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each vesting date.

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

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,115

Underlying: Common Stock · 391,115 shares

Expires 2029-01-10

F6 · derivative.exercise_date: 25% of the shares underlying this option vested on January 10, 2020 and the remaining 75% of the shares underlying this option vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each vesting date.

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

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,616

Underlying: Common Stock · 505,616 shares

Expires 2026-07-01

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

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

Lu Zhijian · CIK 0001874612 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLCs

Disclosed balance after: 18,552,065

F1 · shares: Received on July 1, 2021 pursuant to that certain Business Combination Agreement and Plan of Reorganization ("BCA"), dated as of November 23, 2020, as amended on December 30, 2020, March 8, 2021 and May 18, 2021, by and among Apex Technology Acquisition Corporation ("Apex"), Athena Technology Merger Sub, Inc., a Delaware corporation and a wholly-owned subsidiary of Apex, Athena Technology Merger Sub 2, LLC, a Delaware limited liability company and a wholly-owned subsidiary of Apex and AvePoint, Inc. a Delaware corporation ("Former AvePoint") in exchange for Former AvePoint shares.

F2 · shares: The BCA provides that the former stockholders of Former AvePoint will receive additional shares of the Issuer's Common Stock if the Issuer's closing share price equals or exceeds $12.50, $15.00 and $17.50 for any 20 trading days within any consecutive 30-trading day period prior to July 1, 2028. The Reporting Person's right to receive additional shares pursuant to this earn-out became fixed and irrevocable on July 1, 2021, the effective date of the merger.

F4 · ownership.nature: These shares are held by KEM Lily LLC, KEM Phoenix LLC and KEM Rose LLC. The Reporting Person disclaims beneficial ownership with respect to the shares held by these limited liability companies, except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.