10/21/2025 | Press release | Distributed by Public on 10/21/2025 17:45
|
FORM 4
|
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 |
|
|
|||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||
| 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) | ||
|
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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy)(1) | $1.34 | 10/13/2025 | M | 569,707 | 07/01/2020 | 07/01/2026 | Common Stock | 569,707 | $ 0 | 5,079,001 | D | ||||
| Stock Option (Right to Buy)(1) | $1.59 | 10/13/2025 | M | 362,850 | 01/10/2023 | 01/10/2029 | Common Stock | 362,850 | $ 0 | 4,716,151 | D | ||||
| Stock Option (Right to Buy)(1) | $3.91 | 10/13/2025 | M | 1,716,047 | 08/12/2024 | 08/12/2030 | Common Stock | 1,716,047 | $ 0 | 3,000,104 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
|
Jiang Tianyi C/O AVEPOINT, INC. 525 WASHINGTON BOULEVARD, SUITE 1400 JERSEY CITY, NJ 07310 |
X | Chief Executive Officer | ||
| /s/ Brian Michael Brown, Attorney-in-Fact | 10/21/2025 | |
| **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 original Form 4, filed on October 15, 2025, is being amended by this Form 4 amendment to include these tranches on the list of options exercised by the Reporting Person in accordance with the 2016 Equity Incentive Plan. |