Current Report Filing (8-k)
November 15 2021 - 07:04AM
Edgar (US Regulatory)
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2021-11-15 0001777921 AVPT:CommonStockParValue0.0001Member
2021-11-15 2021-11-15 0001777921
AVPT:WarrantsEachWholeWarrantExercisableForOneShareOfCommonStockAtExercisePriceOf11.50PerShareMember
2021-11-15 2021-11-15 iso4217:USD xbrli:shares iso4217:USD
xbrli:shares
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)
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Delaware |
001-39048 |
83-4461709 |
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or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS
Employer Identification No.) |
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525 Washington Blvd,
Suite 1400
Jersey City,
New Jersey
(Address of principal executive offices)
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07310
(Zip Code)
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Registrant’s telephone number, including area code:
(201)
793-1111
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| (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:
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☐ |
Written communications pursuant
to Rule 425 under the Securities Act (17 CFR 230.425) |
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☐ |
Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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☐ |
Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b)) |
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☐ |
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:
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Title of each
class |
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Trading Symbol(s) |
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Name of each exchange on which
registered |
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Common Stock, par value $0.0001 per share
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AVPT |
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The
Nasdaq Global Select Market |
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Warrants, each whole warrant exercisable for one share of Common
Stock at an exercise price of $11.50 per
share |
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AVPTW |
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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.
**
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.
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AvePoint,
Inc. |
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Dated: November 15, 2021 |
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By: |
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/s/ Brian Michael Brown |
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Brian Michael Brown |
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General Counsel, Chief Legal and Compliance
Officer, and Secretary |
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AvePoint,
Inc. |
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Dated: November 15, 2021 |
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By: |
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/s/ James Caci |
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James Caci |
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Chief Financial Officer |
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