SEC Form 4 · accession 0001218326-15-000025
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
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 5:16 pm EST
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 Stock | Dec 4, 2015 | F | 31,181 | $21.38 | D | 1,691,486 | D | |
| Common Stock | Dec 7, 2015 | M | 800,000 | $12.00 | A | 2,491,486 | D | |
| Common Stock | Dec 7, 2015 | F | 449,648 | $21.35 | D | 2,041,838 | D | |
| Common Stock | Dec 7, 2015 | F | 182,813 | $21.35 | D | 1,859,025 | D | |
| Common Stock | Dec 7, 2015 | S | 167,538 | $21.35 | D | 1,691,487 | D | |
| Common Stock | Dec 7, 2015 | S | 604,314 | $21.35 | D | 1,087,173 | 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)F5 | $12.00 | Dec 7, 2015 | M | 800,000 | D | — | Jun 23, 2016 | Common Stock | 800,000 | 0 | D |
Explanation of responses
- F1These shares were withheld by the Company to cover the tax liability due upon the vesting of the restricted stock award.
- F2These shares were retained by the Company for the purchase cost of an option exercise due pursuant to a stock repurchase agreement entered into with the Company.
- F3These shares were retained by the Company for the payment of applicable taxes due pursuant to a stock repurchase agreement with the Company.
- F4These shares were sold to the Company pursuant to a stock repurchase agreement entered into with the Company.
- F5This option shall cliff vest 100% on September 30, 2010.