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Filing Details

Accession Number:: 0001437749-21-020544
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-19 17:38:24
Reporting Period:: 2021-08-17

Accepted Time:: 2021-08-19 17:38:24
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1777921	Avepoint Inc.	AVPT	Services-Prepackaged Software (7372)	834461709

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1865596	Tianyi Jiang	C/O Avepoint, Inc. 525 Washington Boulevard, Suite 1400 Jersey City NJ 07310	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-08-17	100,000	$9.36	17,079,834	No	4	P	Indirect	By Spouse

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Spouse

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,536,170	Indirect	By LLCs
Common Stock	7,755,257	Indirect	By GRAT
Common Stock	1,862,424	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$1.34	2026-07-01	869,144	869,144	Direct
Common Stock	Stock Option (Right to Buy)	$1.59	2029-01-10	521,486	521,486	Direct
Common Stock	Stock Option (Right to Buy)	$3.91	2030-08-12	2,913,701	2,913,701	Direct
Common Stock	Stock Option (Right to Buy)	$3.91	2030-08-12	259,840	259,840	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2026-07-01	869,144	869,144	Direct
2029-01-10	521,486	521,486	Direct
2030-08-12	2,913,701	2,913,701	Direct
2030-08-12	259,840	259,840	Direct

Footnotes

2,633,766 of these shares are held by Red Kite LLC, and 3,902,404 of these shares are held by River Valley Ltd. The Reporting Person disclaims beneficial ownership with respect to 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 of the reported shares for purposes of Section 16 or for any other purpose.
These shares are held by the Capella 2021 GRAT (the "GRAT"). The Reporting Person disclaims beneficial ownership with respect to the shares held by the 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 of the reported shares for purposes of Section 16 or for any other purpose
Pursuant to an agreement between the Issuer and the Reporting Person, dated as of June 30, 2021, the Reporting Person is entitled to receive these shares on the earlier of (i) July 1, 2022 and (ii) specified events including change of control of the Issuer, separation of service, and the Reporting Person's disability or death.
These shares are held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership with respect to 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 of the reported shares for purposes of Section 16 or for any other purpose.
This represents the aggregate share holdings of the Reporting Person as of the date hereof, consisting of (i) 7,755,257 shares held by the Capella 2021 GRAT, of which the Reporting Person is trustee, (ii) 3,902,404 shares held by River Valley Ltd, (iii) 2,633,766 shares held by Red Kite LLC, (iv) 825,983 shares underlying options exercisable within 60 days of July 1, 2021, (v) 100,000 shares held by Reporting Person's spouse, and (vi) 1,862,424 shares which the Reporting Person is entitled to receive on the earlier of (A) July 1, 2022 and (B) specified events including change of control of the Issuer, separation of service and the Reporting Person's disability or death, pursuant to an agreement with the Issuer dated June 30, 2021.
This option is fully vested and immediately exercisable.
25% of the shares underlying this option vested on January 10, 2020; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.
25% of the shares underlying this option vested on August 12, 2021; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date.