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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): November 15, 2021

 

AvePoint, Inc.

(Exact name of registrant as specified in its charter)

     
Delaware 001-39048 83-4461709
(State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.)

 

 
     

525 Washington Blvd, Suite 1400

Jersey City, New Jersey

(Address of principal executive offices)

 

07310

(Zip Code)

 

Registrant’s telephone number, including area code: (201) 793-1111

 

 
(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

         
Title of each class   Trading Symbol(s)   Name of each exchange on which registered

Common Stock, par value $0.0001 per share

  AVPT   The Nasdaq Global Select Market
Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50 per share   AVPTW   The Nasdaq Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

 

 

 

Item 2.02 Results of Operations and Financial Condition.

 

On November 15, 2021, AvePoint, Inc. issued a press release (the “AvePoint PR”) announcing its financial results for the fiscal quarter ended September 30, 2021. The AvePoint PR is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K.

 

The information under Item 2.02 in this Current Report on Form 8-K, and the related information in the exhibit attached hereto as Exhibit 99.1, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.

 

Item 9.01 Financial Statement and Exhibits.

 

(d) Exhibits.

                     
        Incorporated by Reference
Exhibit
Number
  Description  

Schedule/

Form

  File No.   Exhibit   Filing Date
99.1**   Press Release, dated November 15, 2021, reporting AvePoint, Inc.’s financial results for the fiscal quarter ended September 30, 2021 (furnished pursuant to Item 2.02 of Form 8-K)                
104   Cover Page Interactive Data File (embedded within the Inline XBRL document)                

 

** Furnished herewith

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

             
        AvePoint, Inc.
     
Dated: November 15, 2021        
       
        By:   /s/ Brian Michael Brown
             
            Brian Michael Brown
            General Counsel, Chief Legal and Compliance Officer, and Secretary

 

 

             
        AvePoint, Inc.
     
Dated: November 15, 2021        
       
        By:   /s/ James Caci
             
            James Caci
            Chief Financial Officer

 

 

 

 

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