Form 4 for EGAN EGAIN Corp
Accepted 2021-09-17 00:00:00 ET · period of report 2021-09-15 · accession 0001104659-21-116886 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-09-17 | 2021-09-15 | EGAN | SMIT ERIC | CFO | M - OptEx | $4.77 | +5,000 | 132.2K | +4% | +$23.9K |
| DM | 2021-09-17 | 2021-09-15 | EGAN | SMIT ERIC | CFO | S - Sale+OE | $11.05 | -5,000 | 131.2K | -4% | -$55.2K |
| DM | 2021-09-17 | 2021-09-15 | EGAN | SMIT ERIC | CFO | M - OptEx | $0.00 | -5,000 | 22.0K | -19% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-15 | M | A | 2,000 | $2.50 | 134,187 | D | — | — | (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. |
| 2 | Common | Common Stock | 2021-09-15 | S | D | 2,000 | $11.04 | 129,187 | D | — | — | (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 actual price. These shares were sold in multiple transactions ranging in price from $11.00 to $11.15. 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 | Common | Common Stock | 2021-09-15 | S | D | 3,000 | $11.05 | 131,187 | D | — | — | (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 actual price. These shares were sold in multiple transactions ranging in price from $11.00 to $11.15. 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. |
| 4 | Common | Common Stock | 2021-09-15 | M | A | 3,000 | $6.29 | 132,187 | D | — | — | (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. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2021-09-15 | M | D | 2,000 | $0.00 | 58,000 | D | $2.50 · — to 2027-09-19 | 2,000 Common Stock | (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. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2021-09-15 | M | D | 3,000 | $0.00 | 22,000 | D | $6.29 · — to 2024-09-11 | 3,000 Common Stock | (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. |