** **

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

 

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**FORM 10-K/A**

**(Amendment No. 1)**

 

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** **

**(Mark One)**

**x**      **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

** **

**For the Fiscal Year Ended June 30, 2017**

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**or**

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**o**         **TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

 

**For the transition period from                      to                    **

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**Commission File Number: 001-35314**

** **

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**eGAIN CORPORATION**

(Exact name of registrant as specified in its charter)

 

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|  **Delaware**                                                                                                                                                                                |   | **77-0466366**                                   |
|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|--------------------------------------------------|
| (State or other   jurisdiction   of incorporation or organization)                                                                                                                           |   | (I.R.S. Employer   Identification No.) |
| **1252   Borregas Avenue   Sunnyvale, California 94089**(Address of principal executive offices, including zip   code)**(408) 636-4500**(Registrant’s telephone number, including area code) |   |                                             |

 

Securities registered pursuant to Section 12(b) of the Act:

 

| **Title of Each Class**                        |   | **Name of Each Exchange on Which Registered** |
|------------------------------------------------|--------|-----------------------------------------------|
| **Common   Stock, par value $0.001 per share** |   | **Nasdaq   Capital Market**                   |

 

Securities registered pursuant to Section 12(g) of the Act: **None**

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    Yes  o    No  x

Indicate by check mark if registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.    Yes  o    No  x

Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days:    Yes  x    No  o

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  x    No  o.

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. x

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company.  See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 
| Large accelerated filer | o      |                                          |   | Accelerated   filer         | o |
|-------------------------|--------|-----------------------------------------------|--------|-----------------------------|---|
| Non-accelerated filer   | o      | (Do not check if a smaller reporting company) |   | Smaller   reporting company | x |
|                    |   |                                          |   | Emerging   growth company   | o |

 

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. o

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): Yes o No x

The aggregate market value of the voting and non-voting common equity held by non-affiliates (based on the closing price on the Nasdaq Capital Market) on December 31, 2016, was approximately $17.7 million. For purposes of the foregoing calculation only, the registrant has included in the shares owned by affiliates the beneficial ownership of voting and non-voting common equity of officers and directors, and affiliated entities, of the registrant and members of their families. Such inclusion shall not be construed as an admission that any such person is an affiliate for any other purpose.

 

There were 27,230,571 shares of the Registrant’s Common Stock $0.001 par value, outstanding on September 19, 2017.

 

**DOCUMENTS INCORPORATED BY REFERENCE**

 

Items 10 (as to directors), 11, 12, 13 and 14 of Part III incorporate by reference information from the registrant’s proxy statement to be filed with the Securities and Exchange Commission in connection with the solicitation of proxies for the registrant’s 2017 Annual Meeting of Stockholders.

 

 

 

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**EXPLANATORY NOTE**

 

eGain Corporation is filing this Amendment No. 1 to Annual Report on Form 10-K/A (this “Amendment No. 1”) to amend its Annual Report on Form 10-K for the fiscal year ended June 30, 2017, as filed with the Securities and Exchange Commission (the “SEC”) on September 26, 2017 (the “Original Report”).  The purpose of this Amendment No. 1 is to replace PART IV, Item 15 in its entirety.

 

In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, new certifications by the Registrant’s principal executive officer and principal financial officer required by Rule 13a-14(a) under the Securities Exchange Act of 1934 are being filed as exhibits to this Amendment No. 1; however, paragraphs 3, 4 and 5 of the certifications have been omitted because this Amendment No. 1 does not contain any financial statements nor does it contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K.

 

This Amendment No. 1 continues to speak as of the date of the Original Report and does not reflect events occurring after the filing of the Original Report or modify or update those disclosures that may be affected by subsequent events.  Accordingly, this Amendment No. 1 should be read in conjunction with the Original Report and the Registrant’s other filings with the SEC.

 

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**PART IV**

 

**ITEM 15.**                                         **EXHIBITS AND FINANCIAL STATEMENT SCHEDULES**

 

**(a) 1. Financial Statements**

 

See Index to Financial Statements in Item 8 of this report.

 

**2. Financial Statement Schedule**

 

Financial statement schedule, which is included at the end of this report: 

 

Schedule II—Valuation and Qualifying Accounts.

 

**3. Exhibits**

 

See Item 15(b) of this report.

 

All other schedules have been omitted since they are either not required, not applicable or the information has been included in the consolidated financial statements or notes thereto.

 

**(b) Exhibits**

 

The exhibits listed below are filed or incorporated by reference herein.

 
| **Exhibit No.** | ** ** | **Description**                                                                                                                                                                                                                                                                                                                                               |
|----------------------|------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| ** **           | ** ** | ** **                                                                                                                                                                                                                                                                                                                                                    |
| 3(i).1               |       | Amended   and Restated Certificate of Incorporation (incorporated by reference to   Exhibit 3.1 to the Registrant’s Quarterly Report on Form 10-Q for   the quarter ended September 30, 2008).                                                                                                                                            |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 3(i).2               |       | Certificate   of Amendment of Certificate of Incorporation (incorporated by reference to   Exhibit 3(iii) to the Registrant’s Quarterly Report on   Form 10-Q for the quarter ended September 30, 2012).                                                                                                                        |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 3(ii)                |       | Amended   and Restated Bylaws (incorporated by reference to Exhibit 3.4 to the   Registrant’s Registration Statement on Form S-1, File   No. 333-83439, originally filed with the Commission on July 22,   1999, as subsequently amended (the “Form S-1”)).                                                           |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 4.1                  |       | Form of   Common Stock Certificate (incorporated by reference to Exhibit 4.1 to   the Registrant’s Form S-1).                                                                                                                                                                                                                             |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.1#                |       | Form of   Indemnification Agreement (incorporated by reference to Exhibit 10.1 to   the Registrant’s Form S-1).                                                                                                                                                                                                                           |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.2#                |       | Amended   and Restated 1998 Stock Plan and forms of stock option agreements thereunder   (incorporated by reference to Exhibit 10.3 to the Registrant’s   Form S-1).                                                                                                                                                                           |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.3#                |       | 2000   Non-Management Stock Option Plan (incorporated by reference to Exhibit10.11   to the Registrant’s Annual Report on Form 10-K for the fiscal year ended   June 30, 2000).                                                                                                                                                                |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.4#                |       | Amended   and Restated 2005 Stock Incentive Plan (incorporated by reference to   Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q for   the quarter ended September 30, 2014).                                                                                                                                              |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.5#                |       | Amended   and Restated 2005 Management Stock Option Plan (incorporated by reference to   Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q for   the quarter ended September 30, 2014).                                                                                                                                      |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.6                 |       | Credit   Agreement dated as of November 21, 2014 among the Registrant, certain   subsidiaries of the Registrant, Wells Fargo Bank, N.A., as agent and the   lenders party thereto (incorporated by reference to Exhibit 10.1 to the   Registrant’s Current Report on Form 8-K filed on November 25,   2014).                         |
|                 |       |                                                                                                                                                                                                                                                                                                                                                          |
| 10.7                 |       | Amendment   Number One to Credit Agreement dated as of September 1, 2015 among the   Registrant, certain subsidiaries of the Registrant, Wells Fargo Bank, N.A.,   as agent and the lenders party thereto (incorporated by reference to   Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed   on September 3, 2015). |

 

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| **Exhibit No.** | ** ** | **Description**                                                                                                                                                                                                                                                                                                                                                                     |
|----------------------|------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 10.8                 |       | Amendment   Number Two to Credit Agreement dated as of January 27, 2017 among the   Registrant, certain subsidiaries of the Registrant, Wells Fargo Bank, N.A.,   as agent and the lenders party thereto (incorporated by reference to   Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed   on February 2, 2017).                         |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 10.9                 |       | Standard   Industrial/Commercial Multi-Tenant Lease Modified Net dated as of May 9,   2011 between the Registrant and DeGuigne Ventures, LLC (incorporated by   reference to Exhibit 10.14 to Amendment No. 1 to the Registrant’s   Annual Report on Form 10-K for the fiscal year ended June 30, 2014   filed on October 24, 2014).             |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 10.10                |       | First   Amendment to Standard Industrial/Commercial Multi-Tenant Lease Modified Net   dated as of May 14, 2014 between the Registrant and D.R. Stephens   Industrial Partners, LLC (Successor in Interest to DeGuigne Ventures, LLC)   (incorporated by reference to Exhibit 10.1 to the Registrant’s Current   Report on Form 8-K filed on May 19, 2014). |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 21.1                 |       | Subsidiaries   of eGain (incorporated by reference to Exhibit 21.1 to the Registrant’s   Annual Report on Form 10-K for the fiscal year ended June 30,   2015).                                                                                                                                                                                                 |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 23.1                 |       | Consent   of BPM LLP, Independent Registered Public Accounting Firm.                                                                                                                                                                                                                                                                                                           |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 31.1                 |       | Principal   Executive Officer’s Certification Pursuant to Section 302 of the   Sarbanes-Oxley Act of 2002.                                                                                                                                                                                                                                                                |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 31.2                 |       | Principal   Financial Officer’s Certification Pursuant to Section 302 of the   Sarbanes-Oxley Act of 2002.                                                                                                                                                                                                                                                                |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 32.1*                |       | Certification   pursuant to 18 U.S.C. Section 1350, as adopted pursuant to   Section 906 of the Sarbanes Oxley Act of 2002 of Ashutosh Roy, Chief   Executive Officer.                                                                                                                                                                                                    |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 32.2*                |       | Certification   pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906   of the Sarbanes Oxley Act of 2002 of Eric Smit, Chief Financial Officer.                                                                                                                                                                                                         |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.INS              |       | XBRL Instance Document                                                                                                                                                                                                                                                                                                                                                              |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.SCH              |       | XBRL Taxonomy Extension   Schema Document                                                                                                                                                                                                                                                                                                                                           |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.CAL              |       | XBRL Taxonomy Extension   Calculation Linkbase Document                                                                                                                                                                                                                                                                                                                             |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.DEF              |       | XBRL Taxonomy Extension   Definition Linkbase Document                                                                                                                                                                                                                                                                                                                              |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.LAB              |       | XBRL Taxonomy Extension   Label Linkbase Document                                                                                                                                                                                                                                                                                                                                   |
|                 |       |                                                                                                                                                                                                                                                                                                                                                                                |
| 101.PRE              |       | XBRL Taxonomy Extension   Presentation Linkbase Document                                                                                                                                                                                                                                                                                                                            |

 

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#                   Indicates management contract or compensation plan or arrangement.

 

*                   This exhibit is not deemed “filed” with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933 or the Securities Exchange Act of 1934, whether made before or after date hereof and irrespective of any general incorporation language contained in such filing.

 

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**SIGNATURES**

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 1 to be signed on its behalf by the undersigned, thereunto duly authorized.

 
|   | eGAIN CORPORATION       |
|--------|-------------------------|
|   |                    |
|   | /s/ ASHUTOSH ROY        |
|   | Ashutosh Roy            |
|   | Chief Executive Officer |

 

Date: January 12, 2018

 

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