Caci James 4
4 · AvePoint, Inc. · Filed Jun 9, 2026
Research Summary
AI-generated summary of this filing
AvePoint (AVPT) CFO Caci James Sells 5,714 Shares (Tax Withholding)
What Happened
Caci James, Chief Financial Officer of AvePoint, had a total of 5,714 shares of AvePoint common stock withheld to satisfy tax withholding related to vested restricted stock units (RSUs). The withholdings occurred on June 5, 2026 at an effective price of $10.74 per share, representing proceeds of $61,368 (3,957 shares = $42,498; 1,369 shares = $14,703; 388 shares = $4,167). These dispositions are tax-withholding/net-settlement actions (transaction code F) tied to RSU vesting, not discretionary open-market sales.
Key Details
- Transaction date: June 5, 2026; Filing date: June 9, 2026 (Form 4 accession 0001437749-26-020050).
- Price per share: $10.74; Total shares withheld: 5,714; Total value: $61,368.
- Shares owned after transaction: Not specified in the provided summary — see the official Form 4 for total holdings.
- Relevant footnotes: F1 explains these are RSUs that convert to common shares on vesting; F2 clarifies the disposals are issuer withholding to satisfy tax obligations (exempt under Rule 16b-3); F3 notes aggregate holdings include non-RSU common stock and previously reported vested/unvested RSUs.
- Filing timeliness: Filed four calendar days after the transaction; this appears to fall within the usual two-business-day Form 4 reporting window for officers.
Context
This was a routine net settlement/withholding of RSUs to cover tax liabilities (often called a cashless or net share settlement) rather than an executed sale by the officer. Such withholdings are common when equity awards vest and do not necessarily reflect the insider’s view on the company’s stock.
Insider Transaction Report
- Tax Payment
Common Stock
[F1][F2][F3]2026-06-05$10.74/sh−3,957$42,498→ 708,251 total - Tax Payment
Common Stock
[F1][F2][F3]2026-06-05$10.74/sh−1,369$14,703→ 706,882 total - Tax Payment
Common Stock
[F1][F2][F3]2026-06-05$10.74/sh−388$4,167→ 706,494 total
Footnotes (3)
- [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]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.
- [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, March 18, 2025, and March 18, 2026.