# EDGAR Filing Document

**Accession Number:** 0001777921
**File Stem:** 0001437749-23-005557
**Filing Date:** 2023-3
**Character Count:** 8056
**Document Hash:** 6edee25d949f832a34dfc1dc2c1d0a91
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-005557.hdr.sgml**: 20230306

**ACCESSION NUMBER**: 0001437749-23-005557

**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:** Gong Xunkai
- **CENTRAL INDEX KEY:** 0001865618

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39048
- **FILM NUMBER:** 23709885

**MAIL ADDRESS:**
- **STREET 1:** C/O AVEPOINT, INC.
- **STREET 2:** 525 WASHINGTON BOULEVARD, SUITE 1400
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07310
**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Gong Xunkai<br><sub>(Last) (First) (Middle)</sub><br>C/O AVEPOINT, INC.<br>525 WASHINGTON BOULEVARD, SUITE 1400<br><sub>(Street)</sub><br>JERSEY CITY, NJ 07310<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Executive Chairman_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>AvePoint, Inc. [ AVPT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock<sup>(1)</sup> | 2023-03-01 |  | F |  | 9950<sup>(2)</sup> | D | $4.94 | 442834<sup>(3)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 5741146<sup>(4)</sup> | I | By LLCs |
| Common Stock |  |  |  |  |  |  |  | 11498488<sup>(5)</sup> | I | By Trusts |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) 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.

(2) 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.

(3) Includes aggregate vested and unvested RSUs held by the Reporting Person subject to the vesting schedules previously reported on Table I on a Form 4 filed with the Securities and Exchange Commission on September 3, 2021 and March 22, 2022.

(4) Includes (i) 804,757 shares held by Cadenza Holdings LLC, (ii) 4,696,958 shares held by Gicoso Holdings LLC and (iii) 239,431 shares held by Vivace Holdings LLC. 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 the reported shares for the purposes of Section 16 or for any other purpose.

(5) Includes (i) 7,476,264 shares are by G Sonata Trust, (ii) 2,011,112 shares held by Purple Cove Trust and (iii) 2,011,112 shares held by Purple Harbor Trust. The Reporting Person is the trustee of each trust reported herein. The Reporting Person disclaims beneficial ownership with respect to the shares held by each of the trusts, 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.

**Signature:** /s/ Brian Michael Brown, Attorney-in-Fact  
**Date:** 2023-03-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**