Caci James 4
4 · AvePoint, Inc. · Filed Mar 18, 2026
Research Summary
AI-generated summary of this filing
AvePoint (AVPT) CFO Caci James Receives 294,677 RSU Award
What Happened
Caci James, Chief Financial Officer of AvePoint, was awarded a total of 294,677 equity awards on 2026-03-13 (221,008 and 73,669 shares reported separately). These were grants of restricted stock units (RSUs) / performance-based RSUs (no cash paid; reported price $0.00). RSUs represent a contingent right to receive one share upon vesting rather than an open-market purchase.
Key Details
- Transaction date(s): 2026-03-13; Form filed 2026-03-18 (timely Section 16 report).
- Number of RSUs granted: 221,008 and 73,669 (total 294,677). Reported acquisition code: A (award/grant).
- Price: $0.00 per unit (typical for RSU grants; no cash exchanged).
- Vesting (time-based RSUs): 25% vests on March 15, 2027, with the remainder vesting in 12 quarterly installments thereafter (each vesting on the 15th of the month or next business day).
- Performance-based RSUs (PRSUs): Payouts depend on ARR CAGR (70% weight for 2026–2028) and FY2028 GAAP profitability (30%); actual payout can range from 50% to 200% of granted value and will vest only after certification by the Compensation Committee at the end of the performance period.
- Shares owned after transaction: Not specified in the provided excerpt; the filing references aggregate holdings reported in prior Form 4s.
- No indication of a 10b5-1 plan, tax-withholding sale, or late filing in the provided details.
Context
RSU and PRSU grants are common executive compensation and do not represent an immediate buy or sell in the market. Time-based RSUs require continued service to vest; PRSUs depend on future performance metrics and may pay out at a multiple of the grant value. For investors, these awards signal compensation alignment with future performance goals but are not direct expressions of near-term market sentiment.
Insider Transaction Report
- Award
Common Stock
[F1][F2][F3]2026-03-13+221,008→ 641,362 total - Award
Common Stock
[F1][F4][F3]2026-03-13+73,669→ 715,031 total
Footnotes (4)
- [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]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]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.
- [F4]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.