Skip to content
Baker Capital StrategiesMARKETS. FILINGS. PERSPECTIVE.
Powered by THEMA

BAKER CAPITAL STRATEGIES

Get the free weekly BCS email.

Selected company filings and market updates, delivered by email. Your first report will follow soon.

  • Your weekly BCS reportMarket updates and links to filings you can explore.
  • THEMA at launchWe’ll send directions for setting up your filing alerts when THEMA officially opens.

One signup for the weekly email and your free THEMA Basic account at launch.

Already registered or a CSW member?Log in to THEMA →

At least 8 characters. This also creates your free THEMA account for launch.

You’re signing up for the weekly BCS email and THEMA launch/setup updates. Unsubscribe using the link in any email. Privacy policy · Terms

BCS

Changes in Beneficial Ownership · 4

AvePoint, Inc.

AVPTNASDAQEQUITYCurrent

Changes in Beneficial Ownership

Filed Sep 15, 2026Accepted Sep 15, 2026, 4:53 PM EDTFiling CIK 1777921Accession 0001437749-26-030460
Share

Structured filing — 4

rdgdoc.xml

Open full document ↗

Filing details

Report period
2026-09-11
Issuer
AvePoint, Inc.
Issuer CIK
0001777921
Trading symbol
AVPT

Reporting owner 1

Name
Caci James
Reporting owner CIK
0001367794
Relationship
Officer
Officer title
Chief Financial Officer
Address
C/O AVEPOINT, INC., 525 WASHINGTON BOULEVARD, SUITE 1400, JERSEY CITY, NJ, 07310

Non-derivative transactions

Non-derivative transactions · 2 reported rows
SecurityTransaction dateCodeAmountA / DPrice (USD)Owned afterOwnership
Common Stock[F1]2026-09-11F · Form 46,120[F2]D12.66686,023[F3]D
Common Stock[F1]2026-09-14F · Form 42,517[F2]D13.60683,506[F3]D
Table key
F · Form 4
Securities delivered or withheld for exercise price or tax liability under Rule 16b-3
D
Direct

Footnotes

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.↩ 1↩ 2
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.↩ 1↩ 2
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.↩ 1↩ 2

Signature 1

Signed
/s/ Brian Michael Brown, Attorney-in-Fact
Date
2026-09-15

Company context

Current securities

Historical securities (4)

Recent company filings

  1. 10-Q filingNov 5, 2026
  2. Results of Operations and Financial ConditionNov 5, 2026
  3. 4 filingSep 9, 2026
  4. 10-Q filingAug 6, 2026
  5. Results of Operations and Financial ConditionAug 6, 2026

Privacy choices

BCS measures page use with Google Analytics using regional consent settings. You can change your preference here. Charts and market data remain available.

Essential functions — always available. Security, navigation, registration and remembering these choices.

Audience analytics

Analytics cookies are off by default for visitors Google identifies in the EEA, UK or Switzerland until allowed. Limited measurement without analytics cookies may still occur under those regional defaults.

TradingView charts, quotes and the economic calendar load automatically as page content. TradingView receives network and browser information and may collect its own usage analytics. This choice controls BCS’s Google Analytics only.

Google advertising is not enabled. Direct sponsor links do not load advertising trackers on BCS.

Turning analytics off stops future Google Analytics activity here. It does not erase information already received by the provider. Read the privacy policy.