11/05/2025 | Press release | Distributed by Public on 11/05/2025 20:07
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Gong Xunkai C/O AVEPOINT, INC. 525 WASHINGTON BOULEVARD, SUITE 1400 JERSEY CITY, NJ 07310 |
X | Executive Chairman | ||
| /s/ Brian Michael Brown, Attorney-in-Fact | 11/05/2025 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 22, 2025. |
| (2) | Includes (i) 3,965,953 shares held by Mr. Gong's affiliate Giocoso Holdings LLC, (ii) 459,929 shares held by Mr. Gong's affiliate Cadenza Holdings LLC, (iii) 170,465 shares held by Mr. Gong's affiliate Vivace Holdings LLC, each of which Mr. Gong may be deemed to beneficially own, (iv) 2,011,112 shares held by The Purple Harbor Trust, for which Mr. Gong is the trustee, (v) 2,011,112 shares held by The Purple Cove Trust, for which Mr. Gong is the trustee, and (vi) 6,422,097 shares held by G Sonata Trust, for which Mr. Gong is a trustee. The Reporting Person disclaims beneficial ownership with respect to the shares held by each trust and LLC, 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. |