Sec Form 13D Filing - ROY ASHUTOSH filing for EGAIN CORPORATION (EGAN) - 2020-02-13

(Rule 13d-101)

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

(Name of Issuer)

(Title of Class of Securities)

(CUSIP Number)

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

1              Includes 320,833 shares subject to options to purchase common stock that are exercisable within 60 days.  Mr. Roy’s shares (excluding unexercised options) are held by his living trust, The Roy and Sharma Living Trust.  Mr. Roy has sole voting and dispositive power over the shares held by The Roy and Sharma Living Trust.

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Explanatory Note: This Amendment No. 1 (this “Amendment”) relates to and amends the Schedule 13D of Ashutosh Roy, filed with the Securities and Exchange Commission on February 13, 2019 (the “Schedule 13D”), with respect to the common stock, par value $0.001 per share (the “Common Stock”), of eGain Corporation, a Delaware corporation (the “Issuer”).

Item 5 of the Schedule 13D is hereby amended to the extent hereinafter expressly set forth. Except as amended hereby, the original disclosure set forth in the Schedule 13D shall remain unchanged.

Item 5.                                 Interest in Securities of the Issuer

(a) Items 7 through 11 and 13 of the cover page of this Amendment and the footnote thereto are incorporated herein by reference.  The percentage is based on 30,636,745 shares of Common Stock outstanding as of February 7, 2020, as reported on the Issuer’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2019 filed with the Securities and Exchange Commission on February 13, 2019.

(b) Mr. Roy has sole voting and dispositive power over the 8,887,883 shares of Common Stock.

(c) Not applicable.

(d) Not applicable.

(e) Not applicable.

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SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Schedule 13D is true, complete and correct.

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