Form 4: AvePoint CFO's Tax-Related Stock Disposition
Insider Transaction Report
AvePoint's Chief Financial Officer, James Caci, reported a non-discretionary disposition of 6,120 common shares to cover tax obligations related to RSU vesting.
Summary
- James Caci, AvePoint's Chief Financial Officer, reported a transaction on September 12, 2025.
- The transaction involved the disposition of 6,120 shares of AvePoint common stock at a price of $15.61 per share.
- This disposition was an exempt transaction, specifically for the payment of income tax withholding and remittance obligations related to the net settlement of restricted stock units (RSUs).
- The disposition was not a discretionary sale by Mr. Caci.
- Following this transaction, Mr. Caci beneficially owns 668,493 shares, which include both non-RSU common stock and vested/unvested RSUs.
Sentiment
Score: 5
Explanation: The filing reports a routine, non-discretionary disposition of shares by the CFO for tax withholding purposes related to RSU vesting. This is a standard event and does not indicate a positive or negative sentiment regarding the company's performance or outlook.
Positives
- Vesting of Restricted Stock Units (RSUs) for the Chief Financial Officer, indicating continued compensation and retention of key management.
Negatives
- NA
Risks
- NA
Future Outlook
NA
Management Comments
- NA
Industry Context
This filing reports a routine insider transaction related to executive compensation and tax obligations, which does not directly reflect broader industry trends or competitive positioning.
Comparison to Industry Standards
- NA
Management Changes
| Role | Previous Person | New Person | Effective Date | Reason |
|---|---|---|---|---|
Corporate Governance
| Change Type | Description | Effective Date | Impact Assessment |
|---|---|---|---|
Legal Proceedings
- NA
Related Party Transactions
- NA
Stakeholder Impact
- Shareholders: The Chief Financial Officer continues to hold a significant number of shares (668,493), indicating alignment of interests.
- Employees: The vesting of RSUs is part of the company's equity incentive plan, which is a standard compensation practice.
Next Steps
- NA
Key Dates
| Date | Description |
|---|---|
| 09/03/2021 | Reference date for a previous Form 4 filing regarding RSU vesting schedules. |
| 03/22/2022 | Reference date for a previous Form 4 filing regarding RSU vesting schedules. |
| 03/23/2023 | Reference date for a previous Form 4 filing regarding RSU vesting schedules. |
| 03/07/2024 | Reference date for a previous Form 4 filing regarding RSU vesting schedules. |
| 03/18/2025 | Reference date for a previous Form 4 filing regarding RSU vesting schedules. |
| 09/12/2025 | Date of the reported transaction (disposition of shares for tax withholding). |
| 09/16/2025 | Date the Form 4 was signed by the attorney-in-fact. |
Keywords
AvePoint, AVPT, Form 4, insider transaction, stock disposition, RSU, restricted stock units, James Caci, Chief Financial Officer, tax withholding
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