Waxman Alan's Form 4 filing
AvePoint, Inc. (AVPT) · filed Jun 15, 2023
- Accession no.
- 0001387131-23-007596
- Filed
- Jun 15, 2023, 4:57 PM ET
- Trade date
- Jun 13, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market sales total $27.7M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Waxman AlanCIK 0001515132 | 10% Owner |
| Sixth Street Partners Management Company, L.P.CIK 0001812095 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2023 | Common Stock | SSaleDisposed | −1,345,723 | $6.16 | −$8,289,653.68 | 7,391,263 | Indirect | |
| Jun 13, 2023 | Common Stock | SSaleDisposed | −1,054,277 | $6.16 | −$6,494,346.32 | 5,790,520 | Indirect | |
| Jun 13, 2023 | Common Stock | SSaleDisposed | −2,100,000 | $6.16 | −$12,936,000 | 11,534,058 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
9. Joshua Peck is signing on behalf of Mr. Waxman pursuant to an authorization and designation letter dated June 15, 2023, which was previously filed with the Commission as an exhibit to the Schedule 13D filed by Mr. Waxman on July 15, 2023 (SEC File No. 005-91137).