Caci James 4
4 · AvePoint, Inc. · Filed Mar 9, 2026
Research Summary
AI-generated summary of this filing
AvePoint (AVPT) CFO Caci James Receives RSU Award; Shares Withheld
What Happened
Caci James, Chief Financial Officer of AvePoint (AVPT), received an award of 17,775 restricted stock units (RSUs) on 2026-03-05 valued at $11.29 each (total ≈ $200,680). On the same date, 18,005 shares were withheld by the issuer to satisfy income tax withholding and remittance obligations related to the net settlement of the award; those withheld shares are reported as a disposition with a notional value of $11.29 per share (≈ $203,276). The award is an acquisition (code A) and the withholding is an exempt tax-withholding disposition (code F) under Rule 16b-3.
Key Details
- Transaction date: 2026-03-05; per-share price used: $11.29.
- Award: 17,775 RSUs acquired for a total of $200,680.
- Withholding: 18,005 shares withheld (disposed) to cover taxes, total ≈ $203,276.
- Shares/RSUs held after transaction: not specified in the provided excerpt; footnote F3 notes holdings include vested and unvested RSUs from prior grants.
- Footnotes of note:
- F1: These are RSUs that convert to one share per vested RSU.
- F2: Additional performance-based RSU (PRSU) shares may be received depending on future performance and continued employment.
- F3: Holdings include both non-RSU shares and aggregate vested/unvested RSUs from prior filings.
- F4: The withholding is an issuer-handled, exempt transaction to satisfy tax obligations (not a discretionary open-market sale).
- Filing: Report filed 2026-03-09 for a 2026-03-05 transaction — appears filed timely (within required Form 4 reporting window).
Context
RSU grants are a form of compensation (not an open-market purchase) and vesting may be subject to time and/or performance conditions. The withheld shares were used to satisfy tax withholding on the award (a routine, non-discretionary action) and should not be interpreted as an active sale intent by the insider. PRSUs mentioned are performance-contingent and may result in additional shares only if conditions are met.
Insider Transaction Report
- Award
Common Stock
[F1][F2][F3]2026-03-05$11.29/sh+17,775$200,680→ 454,545 total - Tax Payment
Common Stock
[F1][F4][F3]2026-03-05$11.29/sh−18,005$203,276→ 436,540 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]Represents the additional shares of the Issuer's common stock to be received by the Reporting Person based on the performance conditions of the performance-based RSUs ("PRSUs") previously reported on the Form 4 filed with the Securities and Exchange Commission on March 18, 2025. Future vesting of the PRSUs is subject to their performance conditions as well as continuous employment 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.
- [F4]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.