NUANCE COMMUNICATIONS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows, 19 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-08-29: Reporting owner KAYE CHARLES R | WARBURG PINCUS LLC | Warburg Pincus X, L.P. | Warburg Pincus Partners LLC | Warburg Pincus X LLC | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus Private Equity X, L.P. | Landy Joseph P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS & CO.; Form 4; Security "Warrants to buy Common Stock (""Warrants"")"; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-29: Reporting owner KAYE CHARLES R | WARBURG PINCUS LLC | Warburg Pincus X, L.P. | Warburg Pincus Partners LLC | Warburg Pincus X LLC | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus Private Equity X, L.P. | Landy Joseph P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS & CO.; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-02-15: Reporting owner Warburg Pincus Private Equity X, L.P. | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS LLC | Landy Joseph P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC | Warburg Pincus Partners LLC | KAYE CHARLES R | WARBURG PINCUS & CO.; Form 4; Security "Warrants to buy Common Stock (""Warrants"")"; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-02-15: Reporting owner Warburg Pincus Private Equity X, L.P. | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS LLC | Landy Joseph P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC | Warburg Pincus Partners LLC | KAYE CHARLES R | WARBURG PINCUS & CO.; Form 4; Security Warrants; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-08-29 | KAYE CHARLES R | WARBURG PINCUS LLC | Warburg Pincus X, L.P. | Warburg Pincus Partners LLC | Warburg Pincus X LLC | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus Private Equity X, L.P. | Landy Joseph P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS & CO. 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Warrants to buy Common Stock (""Warrants"")" Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,742,687 0 owned after | $11.57 exercise price | 2012-08-31 | |
| 2012-08-29 | KAYE CHARLES R | WARBURG PINCUS LLC | Warburg Pincus X, L.P. | Warburg Pincus Partners LLC | Warburg Pincus X LLC | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus Private Equity X, L.P. | Landy Joseph P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS & CO. 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −119,735 0 owned after | $11.57 exercise price | 2012-08-31 | |
| 2012-02-15 | Warburg Pincus Private Equity X, L.P. | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS LLC | Landy Joseph P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC | Warburg Pincus Partners LLC | KAYE CHARLES R | WARBURG PINCUS & CO. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 4 | "Warrants to buy Common Stock (""Warrants"")" Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,585,670 0 owned after | $20.00 exercise price | 2012-02-17 | |
| 2012-02-15 | Warburg Pincus Private Equity X, L.P. | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS LLC | Landy Joseph P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC | Warburg Pincus Partners LLC | KAYE CHARLES R | WARBURG PINCUS & CO. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −103,933 0 owned after | $20.00 exercise price | 2012-02-17 | |
| 2012-02-15 | Warburg Pincus Private Equity X, L.P. | Warburg Pincus Private Equity VIII, L.P. | Warburg Pincus X Partners, L.P. | WARBURG PINCUS LLC | Landy Joseph P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC | Warburg Pincus Partners LLC | KAYE CHARLES R | WARBURG PINCUS & CO. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,397 0 owned after | $20.00 exercise price | 2012-02-17 | |
| 2010-04-06 | WARBURG PINCUS X PARTNERS, L.P. | Warburg Pincus Partners LLC | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | JANEWAY WILLIAM H | WARBURG PINCUS & CO | HACKETT PATRICK T | Warburg Pincus X LLC | Warburg Pincus Private Equity X, L.P. | Warburg Pincus X, L.P. Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Warrants to buy Common Stock (""Warrants"")" Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,422,750 11,201,910 owned after | $4.94 exercise price | 2010-04-07 | |
| 2010-04-06 | WARBURG PINCUS X PARTNERS, L.P. | Warburg Pincus Partners LLC | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | JANEWAY WILLIAM H | WARBURG PINCUS & CO | HACKETT PATRICK T | Warburg Pincus X LLC | Warburg Pincus Private Equity X, L.P. | Warburg Pincus X, L.P. Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,200 11,160,710 owned after | $4.94 exercise price | 2010-04-07 | |
| 2010-04-06 | WARBURG PINCUS X PARTNERS, L.P. | Warburg Pincus Partners LLC | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | JANEWAY WILLIAM H | WARBURG PINCUS & CO | HACKETT PATRICK T | Warburg Pincus X LLC | Warburg Pincus Private Equity X, L.P. | Warburg Pincus X, L.P. Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,025 11,131,685 owned after | $4.94 exercise price | 2010-04-07 | |
| 2010-04-06 | WARBURG PINCUS X PARTNERS, L.P. | Warburg Pincus Partners LLC | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | JANEWAY WILLIAM H | WARBURG PINCUS & CO | HACKETT PATRICK T | Warburg Pincus X LLC | Warburg Pincus Private Equity X, L.P. | Warburg Pincus X, L.P. Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,025 11,124,660 owned after | $4.94 exercise price | 2010-04-07 | |
| 2009-09-10 | HACKETT PATRICK T | JANEWAY WILLIAM H | Warburg Pincus Partners LLC | Warburg Pincus Private Equity X, L.P. | WARBURG PINCUS X PARTNERS, L.P. | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | Warburg Pincus X, L.P. | Warburg Pincus X LLC | WARBURG PINCUS & CO Director | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to buy Common Stock Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,177,570 13,624,660 owned after | $5.00 exercise price | 2009-09-10 | |
| 2009-07-29 | Warburg Pincus Partners LLC | Warburg Pincus Private Equity X, L.P. | WARBURG PINCUS PRIVATE EQUITY VIII L P | Warburg Pincus X, L.P. | WARBURG PINCUS X PARTNERS, L.P. | WARBURG PINCUS LLC | JANEWAY WILLIAM H | HACKETT PATRICK T | Warburg Pincus X LLC | WARBURG PINCUS & CO Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director | Director | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to buy Common Stock Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −525,732 17,665,466 owned after | $0.61 exercise price | 2009-07-30 | |
| 2009-07-29 | Warburg Pincus Partners LLC | Warburg Pincus Private Equity X, L.P. | WARBURG PINCUS PRIVATE EQUITY VIII L P | Warburg Pincus X, L.P. | WARBURG PINCUS X PARTNERS, L.P. | WARBURG PINCUS LLC | JANEWAY WILLIAM H | HACKETT PATRICK T | Warburg Pincus X LLC | WARBURG PINCUS & CO Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director | Director | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to buy Common Stock Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −863,236 16,802,230 owned after | $5.00 exercise price | 2009-07-30 | |
| 2009-01-30 holding as of filing | Warburg Pincus Private Equity X, L.P. | WARBURG PINCUS X PARTNERS, L.P. | Warburg Pincus X, L.P. | Warburg Pincus X LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | "Warrants to buy Common Stock (""Warrants"")" Derivative · Indirect · See Footnote | Holding | $11.57 exercise price | 2009-01-30 | ||
| 2009-01-29 | WARBURG PINCUS LLC | JANEWAY WILLIAM H | WARBURG PINCUS & CO | WARBURG PINCUS PRIVATE EQUITY VIII L P | HARRIS JEFFREY | Warburg Pincus Partners LLC 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | 4 | Warrants to buy Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,862,422 18,191,198 owned after | $11.57 exercise price | 2009-01-30 | |
| 2009-01-13 | WARBURG PINCUS & CO | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | HARRIS JEFFREY | Warburg Pincus Partners LLC | JANEWAY WILLIAM H Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | 4 | Warrants to buy Common Stock, par value $0.001/share Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −525,732 13,803,044 owned after | $0.61 exercise price | 2009-01-15 | |
| 2009-01-13 | WARBURG PINCUS & CO | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | HARRIS JEFFREY | Warburg Pincus Partners LLC | JANEWAY WILLIAM H Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | 4 | Warrants to buy Common Stock, par value $0.001/share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +525,732 14,328,776 owned after | $0.61 exercise price | 2009-01-15 | |
| 2009-01-13 | WARBURG PINCUS & CO | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | HARRIS JEFFREY | Warburg Pincus Partners LLC | JANEWAY WILLIAM H Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | 4 | Warrants to buy Common Stock, par value $0.001/share Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −863,236 13,465,540 owned after | $5.00 exercise price | 2009-01-15 | |
| 2009-01-13 | WARBURG PINCUS & CO | WARBURG PINCUS LLC | WARBURG PINCUS PRIVATE EQUITY VIII L P | HARRIS JEFFREY | Warburg Pincus Partners LLC | JANEWAY WILLIAM H Director, 10% Owner | 10% Owner | Director, 10% Owner | Director | Director, 10% Owner | Director | 4 | Warrants to buy Common Stock, par value $0.001/share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +863,236 14,328,776 owned after | $5.00 exercise price | 2009-01-15 | |
| 2008-05-20 | JANEWAY WILLIAM H | WARBURG PINCUS LLC | HARRIS JEFFREY | WARBURG PINCUS PRIVATE EQUITY VIII L P | WARBURG PINCUS & CO | Warburg Pincus Partners LLC Director | 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to buy Common Stock, par value $0.001 per share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,700,000 14,328,776 owned after | $0.13 | 2008-05-22 |