Form 4 for AVPT AvePoint, Inc.

Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001437749-21-021484 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2021-09-03	2021-09-01	AVPT	Brown Brian Michael	GC, Dir	A - Grant	$0.00	+259.3K	2.08M	+14%	$0
D	2021-09-03	2021-09-01	AVPT	Brown Brian Michael	GC, Dir	A - Grant	$9.64	+624.9K	624.9K	New	+$6.02M

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-09-01	A	A	259,336	$0.00	2,082,128	D	—	—	(F1) This security represents 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) 25% of the RSUs will vest on September 1, 2022; the remaining RSUs vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date. (F3) Includes 1,732,488 shares that the Reporting Person is entitled to receive pursuant to an agreement between the Issuer and the Reporting Person, dated as of June 30, 2021, upon 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.
2	Derivative	Stock Option (Right to Buy)	2021-09-01	A	A	624,906	$9.64	624,906	D	$9.64 · — to 2031-09-01	624,906 Common Stock	(F4) 25% of the shares underlying this option will vest on September 1, 2022; the remaining options vest and become exercisable in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.