SEC Form 4 · accession 0001218326-17-000007
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
Jun 6, 2017
Accepted (ET)
Jun 8, 2017 · 4:42 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 | Jun 6, 2017 | M | 1,000,000 | $16.44 | A | 2,090,036 | D | |
| Common Stock | Jun 6, 2017 | F | 860,732 | $19.10 | D | 1,229,304 | D | |
| Common Stock | Jun 6, 2017 | G | 9,000 | $19.185 | D | 1,220,304 | D | |
| Common Stock | Jun 6, 2017 | S | 139,267 | $19.10 | D | 1,081,037 | 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) | $16.44 | Jun 6, 2017 | M | 1,000,000 | D | Sep 30, 2012 | Nov 15, 2017 | Common Stock | 1,000,000 | 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 15, 2017.
- F2Mr. Ricci gifted the shares to a family foundation. He no longer has a pecuniary interest in the shares.