SEC Form 4 · accession 0001218326-15-000012
Nuance Communications, Inc. · NUAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Ricci
Officer — Chief Executive Officer · Director
Period of report
Jul 2, 2015
Accepted (ET)
Jul 7, 2015 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001002517
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 6, 2015 | S | 100,000 | $16.90 | D | 2,682,430 | D | |
| Common StockF1 | Jul 7, 2015 | S | 195,000 | $16.6002 | D | 2,487,430 | D | |
| Common StockF1 | Jul 7, 2015 | S | 25,000 | $16.6995 | D | 2,462,430 | D | |
| Common StockF1 | Jul 7, 2015 | S | 40,000 | $16.65 | D | 2,422,430 | D | |
| Common StockF1 | Jul 7, 2015 | S | 41,700 | $16.5824 | D | 2,380,730 | D | |
| Common StockF1 | Jul 7, 2015 | S | 40,000 | $16.4558 | D | 2,340,730 | D | |
| Common StockF1 | Jul 7, 2015 | S | 40,000 | $16.55 | D | 2,300,730 | D | |
| Common StockF1 | Jul 7, 2015 | S | 60,000 | $16.5812 | D | 2,240,730 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 290,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 280,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 270,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 260,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 250,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 240,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 30,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 30,000 | 210,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 15,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 15,000 | 195,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 15,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 15,000 | 180,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 10,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,000 | 170,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 2, 2015 | M | 1,300 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 1,300 | 168,700 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 6, 2015 | M | 10,400 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 10,400 | 158,300 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 6, 2015 | M | 50,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 50,000 | 108,300 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 6, 2015 | M | 8,300 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 8,300 | 100,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $12.19 | Jul 6, 2015 | M | 100,000 | D | Sep 30, 2010 | Sep 30, 2015 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1These shares were sold pursuant to a 10b5-1 Sales Plan adopted on March 24, 2015.
- F2This option shall cliff vest 100% on 09/30/2010.