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Filing Details

Accession Number:: 0001437749-24-029857
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-09-23 18:50:03
Reporting Period:: 2024-09-19

Accepted Time:: 2024-09-23 18:50:03
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1777921	Avepoint Inc.	AVPT	Services-Prepackaged Software (7372)	834461709

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1874612	Zhijian Lu	C/O Avepoint, Inc. 525 Washington Boulevard, Suite 1400 Jersey City NJ 07310		No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2024-09-19	10,000	$11.91	18,400,673	No	4	S	Indirect	By Trusts and LLCs
Common Stock	Disposition	2024-09-20	10,000	$11.94	18,390,673	No	4	S	Indirect	By Trusts and LLCs
Common Stock	Disposition	2024-09-23	10,000	$11.90	18,380,673	No	4	S	Indirect	By Trusts and LLCs
Common Stock	Disposition	2024-09-21	721	$11.94	181,259	No	4	F	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Trusts and LLCs
No	4	S	Indirect	By Trusts and LLCs
No	4	S	Indirect	By Trusts and LLCs
No	4	F	Direct

Footnotes

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.
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.
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.
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.
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.