Caci James 4
4 · AvePoint, Inc. · Filed Jun 16, 2026
Research Summary
AI-generated summary of this filing
AvePoint (AVPT) CFO Caci James Sells Shares for Tax Withholding
What Happened
Caci James, Chief Financial Officer of AvePoint, had a total of 8,637 shares withheld on June 12, 2026 to satisfy tax withholding related to vested restricted stock units (RSUs). The filing shows two withholding entries: 6,120 shares at $10.87 (=$66,524) and 2,517 shares at $10.87 (=$27,360), for a combined value of $93,884. This was a tax-withholding/net-settlement event—not an open-market sale initiated by the insider.
Key Details
- Transaction date: June 12, 2026. Price per share reported: $10.87.
- Shares withheld/disposed: 6,120 ($66,524) and 2,517 ($27,360); total 8,637 shares (~$93,884).
- Shares owned after transaction: Not specified in this Form 4; filing footnote indicates holdings include non-RSU common stock and aggregate vested/unvested RSUs subject to previously reported vesting schedules (see prior Form 4s: 9/3/2021; 3/22/2022; 3/23/2023; 3/7/2024; 3/18/2025; 3/18/2026).
- Footnotes: F1 = these were RSUs (each RSU converts to one share on vesting). F2 = exempt transaction: shares were withheld by the issuer to satisfy tax withholding under Rule 16b-3 (i.e., not a discretionary market sale). F3 = summary of aggregate holdings (vested and unvested) referenced above.
- Filing timeliness: Form 4 filed on June 16, 2026 — filed within the typical 2-business-day window (on time).
Context
This is a routine net settlement/tax-withholding event when RSUs vest: the company retained shares to cover income tax obligations. Such withholdings are common and do not necessarily signal an insider choosing to sell shares for liquidity or an opinion on the company’s outlook.
Insider Transaction Report
- Tax Payment
Common Stock
[F1][F2][F3]2026-06-12$10.87/sh−6,120$66,524→ 700,374 total - Tax Payment
Common Stock
[F1][F2][F3]2026-06-12$10.87/sh−2,517$27,360→ 697,857 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.