SEC Form 4 · accession 0001218326-16-000042
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
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 5:14 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 | Nov 22, 2016 | A | 57,612 | $16.79 | A | 1,096,913 | D | |
| Common Stock | Nov 22, 2016 | F | 30,060 | $16.79 | D | 1,066,853 | D | |
| Common Stock | Nov 22, 2016 | A | 230,450 | $16.79 | A | 1,297,303 | D | |
| Common Stock | Nov 22, 2016 | F | 120,241 | $16.79 | D | 1,177,062 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are pursuant to a performance-based restricted stock unit agreement with the company whereby targets defined by the Compensation Committee were deemed to be achieved for fiscal year 2016.
- F2These shares were withheld by the Company to cover the tax liability due upon the vesting of the restricted stock award.