SEC Form 4 · accession 0001218326-16-000038
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
Mar 17, 2016
Accepted (ET)
Mar 18, 2016 · 5:03 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 Stock | Mar 17, 2016 | S | 125,000 | $19.5172 | D | 802,173 | D | |
| Common Stock | Mar 17, 2016 | M | 125,000 | $13.60 | A | 927,173 | D | |
| Common Stock | Mar 17, 2016 | F | 87,063 | $19.5259 | D | 840,110 | D | |
| Common Stock | Mar 17, 2016 | F | 14,253 | $19.5259 | D | 825,857 | D | |
| Common Stock | Mar 17, 2016 | S | 23,684 | $19.5259 | D | 802,173 | 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) | $13.60 | Mar 17, 2016 | M | 125,000 | D | Sep 30, 2011 | Nov 4, 2016 | Common Stock | 125,000 | 875,000 | D |
Explanation of responses
- F1These shares were withheld by the Company to cover the strike price and tax liability due upon the exercise of stock options.