NUANCE COMMUNICATIONS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-06: Reporting owner FRANKENBERG ROBERT J; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-12-01: Reporting owner RICCI PAUL; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-12-01: Reporting owner RICCI PAUL; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-11-01: Reporting owner RICCI PAUL; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-06 | FRANKENBERG ROBERT J Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $4.45 exercise price | 2011-12-08 | |
| 2011-12-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 20,000 owned after | $6.97 exercise price | 2011-12-05 | |
| 2011-12-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $6.97 exercise price | 2011-12-05 | |
| 2011-11-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −90,000 45,000 owned after | $6.97 exercise price | 2011-11-03 | |
| 2011-10-07 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24 0 owned after | $5.36 exercise price | 2011-10-11 | |
| 2011-10-07 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,500 135,000 owned after | $6.97 exercise price | 2011-10-11 | |
| 2011-10-03 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −84,230 24 owned after | $5.36 exercise price | 2011-10-04 | |
| 2011-10-03 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −67,500 157,500 owned after | $6.97 exercise price | 2011-10-04 | |
| 2011-09-27 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 112,500 owned after | $3.79 exercise price | 2011-09-29 | |
| 2011-09-27 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,075 84,254 owned after | $5.36 exercise price | 2011-09-29 | |
| 2011-09-27 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,500 225,000 owned after | $6.97 exercise price | 2011-09-29 | |
| 2011-09-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 150,000 owned after | $3.79 exercise price | 2011-09-06 | |
| 2011-09-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −56,155 112,329 owned after | $5.36 exercise price | 2011-09-06 | |
| 2011-09-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 247,500 owned after | $6.97 exercise price | 2011-09-06 | |
| 2011-08-25 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $4.45 exercise price | 2011-08-26 | |
| 2011-08-17 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,000 owned after | $4.45 exercise price | 2011-08-19 | |
| 2011-08-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −112,500 225,000 owned after | $3.79 exercise price | 2011-08-03 | |
| 2011-08-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −84,230 168,484 owned after | $5.36 exercise price | 2011-08-03 | |
| 2011-08-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −67,500 292,500 owned after | $6.97 exercise price | 2011-08-03 | |
| 2011-07-06 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 337,500 owned after | $3.79 exercise price | 2011-07-08 | |
| 2011-07-06 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28,075 252,714 owned after | $5.36 exercise price | 2011-07-08 | |
| 2011-07-06 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,500 360,000 owned after | $6.97 exercise price | 2011-07-08 | |
| 2011-07-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −112,500 375,000 owned after | $3.79 exercise price | 2011-07-06 | |
| 2011-07-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −84,230 280,789 owned after | $5.36 exercise price | 2011-07-06 | |
| 2011-07-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −67,500 382,500 owned after | $6.97 exercise price | 2011-07-06 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 487,500 owned after | $3.79 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 399,249 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 374,249 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,155 373,094 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 368,094 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −575 367,519 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-02 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 365,019 owned after | $5.36 exercise price | 2011-06-03 | |
| 2011-06-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 525,000 owned after | $3.79 exercise price | 2011-06-03 | |
| 2011-05-26 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 600,000 owned after | $3.79 exercise price | 2011-05-31 | |
| 2011-05-26 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −575 476,749 owned after | $5.36 exercise price | 2011-05-31 | |
| 2011-05-26 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 451,749 owned after | $5.36 exercise price | 2011-05-31 | |
| 2011-05-26 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 449,249 owned after | $5.36 exercise price | 2011-05-31 | |
| 2011-05-23 | FRANKENBERG ROBERT J Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $1.18 exercise price | 2011-05-25 | |
| 2011-05-18 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,730 559,824 owned after | $5.36 exercise price | 2011-05-20 | |
| 2011-05-18 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 484,824 owned after | $5.36 exercise price | 2011-05-20 | |
| 2011-05-18 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 477,324 owned after | $5.36 exercise price | 2011-05-20 | |
| 2011-05-18 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −112,500 887,500 owned after | $7.57 exercise price | 2011-05-20 | |
| 2011-04-21 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 637,500 owned after | $3.79 exercise price | 2011-04-25 | |
| 2011-04-01 | RICCI PAUL Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 675,000 owned after | $3.79 exercise price | 2011-04-05 | |
| 2011-03-22 | CHAMBERS STEVEN G Officer (Executive VP Worldwide Sales &) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $16.41 exercise price | 2011-03-23 | |
| 2011-03-04 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $1.18 exercise price | 2011-03-04 | |
| 2011-03-03 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $1.18 exercise price | 2011-03-04 | |
| 2011-03-02 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,000 owned after | $1.18 exercise price | 2011-03-02 | |
| 2011-02-28 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,381 34,619 owned after | $1.18 exercise price | 2011-03-02 | |
| 2011-02-28 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −219 34,400 owned after | $1.18 exercise price | 2011-03-02 | |
| 2011-02-28 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 32,900 owned after | $1.18 exercise price | 2011-03-02 | |
| 2011-02-28 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 31,900 owned after | $1.18 exercise price | 2011-03-02 | |
| 2011-02-28 | MARTIN KATHERINE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,900 30,000 owned after | $1.18 exercise price | 2011-03-02 |