Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-20-126835
Date:2020-11-16
Issuer: EGAIN CORP (EGAN)
Original Submission Date:

Reporting Person:

SMIT ERIC
1252 BORREGAS AVENUE
SUNNYVALE, CA 94089

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-11-16 M 3,000 a $6.29 132,187 direct
COMMON STOCK 2020-11-16 M 2,000 a $2.50 134,187 direct
COMMON STOCK 2020-11-16 S 3,000 d $11.37 131,187 direct
COMMON STOCK 2020-11-16 S 2,000 d $11.37 129,187 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 2.5 2020-11-16 deemed execution date M 2,000 (d) 2027-09-19 common stock 2,000 $2.50 78,000 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 6.29 2020-11-16 deemed execution date M 3,000 (d) 2024-09-11 common stock 3,000 $6.29 52,000 direct
Footnotes
IDfootnote
f1 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.
f2 represents average price. these shares were sold in multiple transactions ranging in price from $11.07 to $11.60. 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.
f3 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.
f4 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.
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