Statement of Changes in Beneficial Ownership (4)
February 18 2021 - 4:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SMIT ERIC |
2. Issuer Name and Ticker or Trading Symbol
EGAIN Corp
[
EGAN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
1252 BORREGAS AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2021 |
(Street)
SUNNYVALE, CA 94089
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/16/2021 (1) | | M | | 3000 | A | $6.29 | 132187 | D | |
Common Stock | 2/16/2021 (1) | | M | | 2000 | A | $2.50 | 134187 | D | |
Common Stock | 2/16/2021 (1) | | S | | 3000 | D | $12.55 (2) | 131187 | D | |
Common Stock | 2/16/2021 (1) | | S | | 2000 | D | $12.54 (2) | 129187 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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 |
Employee Stock Option (right to buy) | $2.5 | 2/16/2021 | | M | | | 2000 | (3) | 9/19/2027 | Common Stock | 2000 | $0 | 72000 | D | |
Employee Stock Option (right to buy) | $6.29 | 2/16/2021 | | M | | | 3000 | (4) | 9/11/2024 | Common Stock | 3000 | $0 | 43000 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 29, 2020. |
(2) | Represents average price. These shares were sold in multiple transactions ranging in price from $12.24 to $12.82. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. |
(3) | The options, representing a right to purchase a total of 112,000 shares, became exercisable beginning on September 19, 2017 over four years at a rate of 1/48th of the total shares each month. |
(4) | The options, representing a right to purchase a total of 75,000 shares, became exercisable beginning on September 11, 2014 over four years at a rate of 1/48th of the total shares each month. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMIT ERIC 1252 BORREGAS AVENUE SUNNYVALE, CA 94089 |
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| Chief Financial Officer |
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Signatures
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/s/ Eric Smit | | 2/18/2021 |
**Signature of Reporting Person | Date |
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