Statement of Changes in Beneficial Ownership (4)
05 January 2023 - 02:06AM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * Caci James |
2. Issuer Name and Ticker or Trading
Symbol AvePoint, Inc. [ AVPT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Financial Officer |
(Last)
(First)
(Middle)
C/O AVEPOINT, INC., 525 WASHINGTON BOULEVARD, SUITE
1400 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/31/2022
|
(Street)
JERSEY CITY, NJ 07310
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock (1) |
12/31/2022 |
|
F |
|
2896 (2) |
D |
$4.11 |
311676 (3) |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
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. |
(2) |
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. |
(3) |
Represents (i) 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 and March 22, 2022 and (ii) 128,618 shares of Issuer's non-RSU
Common Stock which was also previously reported on on Table I of a
Form 4 filed with the Securities and Exchange Commission on March
22, 2022. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Caci James
C/O AVEPOINT, INC.
525 WASHINGTON BOULEVARD, SUITE 1400
JERSEY CITY, NJ 07310 |
|
|
Chief Financial Officer |
|
Signatures
|
/s/ Brian Brown, Attorney-in-Fact |
|
1/3/2023 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Apex Technology Acquisit... (NASDAQ:APXTU)
Historical Stock Chart
From Mar 2023 to Apr 2023
Apex Technology Acquisit... (NASDAQ:APXTU)
Historical Stock Chart
From Apr 2022 to Apr 2023