Caci James 4

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.