SEC Form 4 · accession 0001218326-16-000040
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
Oct 27, 2016
Accepted (ET)
Oct 28, 2016 · 4:25 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 | Oct 27, 2016 | M | 875,000 | $13.60 | A | 1,549,343 | D | |
| Common Stock | Oct 27, 2016 | F | 831,005 | $14.32 | D | 718,338 | 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 | Oct 27, 2016 | M | 875,000 | D | Sep 30, 2011 | Nov 4, 2016 | Common Stock | 875,000 | 0 | D |
Explanation of responses
- F1These shares were withheld by the Company to cover the strike price due upon the exercise of stock options that were scheduled to expire on November 4, 2016.