Caci James 4

4 · AvePoint, Inc. · Filed Mar 17, 2026

AI-generated summary of this filing

Updated Mar 17, 2026

AvePoint (AVPT) CFO Caci James Withholds Shares for Taxes

What Happened

Caci James, Chief Financial Officer of AvePoint (AVPT), had a total of 16,186 shares withheld by the company on March 13, 2026 to satisfy tax withholding related to vested restricted stock units (RSUs). The withholdings break down as 6,120 shares at $10.43 each ($63,832) and 10,066 shares at $10.43 each ($104,988), for a combined value of approximately $168,820.
This was not a discretionary open-market sale by the insider; the shares were withheld by AvePoint as payment of tax obligations in connection with RSU vesting (net settlement).

Key Details

Transaction date: March 13, 2026. Filing date: March 17, 2026 (filed within the required two business days).
Prices and amounts: 6,120 shares @ $10.43 = $63,832; 10,066 shares @ $10.43 = $104,988; total 16,186 shares withheld (~$168,820).
Shares owned after transaction: not specified in the provided excerpts of the filing.
Footnotes of note:
- F1: These shares relate to RSUs granted under the 2021 Equity Incentive Plan; each RSU converts to one share upon vesting.
- F2: The transaction is an exempt tax-withholding transaction (shares withheld by issuer to satisfy tax obligations) under Rule 16b-3 and not a discretionary sale by the reporting person.
- F3: The reporting totals include non-RSU common stock and aggregate vested/unvested RSUs previously reported.
Transaction code: F (tax withholding).

Context

This was a net settlement / tax-withholding event tied to RSU vesting (common practice). It should be viewed as a routine administrative action to cover taxes rather than a signal of the CFO buying or selling shares for investment reasons.
For retail investors: purchases by insiders generally carry more interpretive weight than routine withholding. This filing documents compensation-related withholding, not a voluntary sale or purchase.

Form 4

Period: 2026-03-13

Chief Financial Officer

Transactions

Tax Payment
Common Stock
[F1][F2][F3]
2026-03-13$10.43/sh−6,120$63,832→ 430,420 total
Tax Payment
Common Stock
[F1][F2][F3]
2026-03-13$10.43/sh−10,066$104,988→ 420,354 total

Footnotes (3)

[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 and March 18, 2025.

Signature

/s/ Brian Michael Brown, Attorney-in-Fact|2026-03-17

1 file