0001437749-23-005561.txt : 20230306 0001437749-23-005561.hdr.sgml : 20230306 20230306171601 ACCESSION NUMBER: 0001437749-23-005561 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230301 FILED AS OF DATE: 20230306 DATE AS OF CHANGE: 20230306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jiang Tianyi CENTRAL INDEX KEY: 0001865596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39048 FILM NUMBER: 23709935 MAIL ADDRESS: STREET 1: C/O AVEPOINT, INC. STREET 2: 525 WASHINGTON BOULEVARD, SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER NAME: FORMER CONFORMED NAME: Jiang Tiany DATE OF NAME CHANGE: 20210603 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AvePoint, Inc. CENTRAL INDEX KEY: 0001777921 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 834461709 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 525 WASHINGTON BLVD STREET 2: SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 BUSINESS PHONE: (201) 793-1111 MAIL ADDRESS: STREET 1: 525 WASHINGTON BLVD STREET 2: SUITE 1400 CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER COMPANY: FORMER CONFORMED NAME: Apex Technology Acquisition Corp DATE OF NAME CHANGE: 20190528 4 1 rdgdoc.xml FORM 4 X0306 4 2023-03-01 0001777921 AvePoint, Inc. AVPT 0001865596 Jiang Tianyi C/O AVEPOINT, INC. 525 WASHINGTON BOULEVARD, SUITE 1400 JERSEY CITY NJ 07310 1 1 1 Chief Executive Officer Common Stock 2023-03-01 4 F 0 7654 4.94 D 397624 D Common Stock 6536170 I By LLCs Common Stock 8943043 I By GRATs Common Stock 172000 I By Spouse 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. 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. Includes 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 and March 22, 2022. Includes (i) 2,633,766 shares held by Red Kite LLC and (ii) 3,902,414 shares held by River Valley ltd. The Reporting Person disclaims beneficial ownership with respect the shares held by each of the limited liability companies, except to the extent his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. Includes (i) 1,784,257 shares held by Capella 2021 GRAT, (ii) 5,971,000 shares held by Capella 2022 GRAT and (iii) 1,187,786 shares held by Capella 2022 GRAT II. The Reporting Person disclaims beneficial ownership with respect the shares held by each GRAT, except to the extent his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. These shares are held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership with respect the shares held by his spouse, except to the extent his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for the purposes of Section 16 or for any other purpose. /s/ Brian Michael Brown, Attorney-in-Fact 2023-03-03