Nomura (NYSE: NMR) officer discloses initial stock and unit holdings

Rhea-AI Filing Summary

Nomura Holdings Inc. officer Minami Naotaka filed an initial ownership report showing existing equity-based holdings. The filing lists 27,065 shares of Common Stock held directly. It also shows Restricted Stock Units tied to 4,000, 1,600 and 500 underlying Common shares, plus Notional Stock Units tied to 503, 503 and 502 underlying Common shares. Each Restricted Stock Unit represents the right to receive one share of Common Stock, while each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Minami Naotaka

(Last) (First) (Middle)

13-1, NIHONBASHI 1-CHOME, CHUO-KU

(Street)

TOKYO JAPAN 103-8645

(City) (State) (Zip)

JAPAN

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
NOMURA HOLDINGS INC [ NMR ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	27,065	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units(1)	04/01/2026	(3)	Common Stock	4,000	(1)	D
Restricted Stock Units(1)	04/01/2027	(3)	Common Stock	1,600	(1)	D
Restricted Stock Units(1)	04/01/2028	(3)	Common Stock	500	(1)	D
Notional Stock Units(2)	04/01/2026	(3)	Common Stock	503	(2)	D
Notional Stock Units(2)	04/01/2027	(3)	Common Stock	503	(2)	D
Notional Stock Units(2)	04/01/2028	(3)	Common Stock	502	(2)	D

Explanation of Responses:

1. Each Restricted Stock Unit represents the right to receive one share of Common Stock.

2. Each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock.

3. No separate expiration date.

Remarks:

Chief Strategy Officer Exhibit 24: Power of Attorney

	/s/ Takashi Futaki, as Attorney-in-fact	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

FAQ

What does the Nomura (NMR) Form 3 filing for Minami Naotaka show?

The Form 3 shows Minami Naotaka’s existing holdings in Nomura securities, including Common Stock, Restricted Stock Units and Notional Stock Units, providing a baseline of his equity-linked position as an officer of Nomura Holdings Inc.

How many Nomura (NMR) common shares does Minami Naotaka directly hold?

Minami Naotaka directly holds 27,065 shares of Nomura Common Stock. This figure represents his reported direct equity stake in the company separate from any Restricted Stock Units or Notional Stock Units listed in the same ownership statement.

What Restricted Stock Units are reported in the Nomura (NMR) Form 3?

The filing lists Restricted Stock Units tied to 4,000, 1,600 and 500 underlying Nomura Common shares. Each Restricted Stock Unit represents the right to receive one share of Common Stock according to the accompanying footnote disclosure.

What are Notional Stock Units in the Nomura (NMR) Form 3 filing?

The Form 3 discloses Notional Stock Units linked to 503, 503 and 502 underlying Nomura Common shares. A footnote states each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock.

Does the Nomura (NMR) Form 3 for Minami Naotaka show any stock purchases or sales?

The Form 3 functions as an initial ownership report and lists holdings only. Transaction summaries show no buy or sell entries, indicating the filing records existing positions rather than new market purchases or sales.

What ownership type is reported for Minami Naotaka’s Nomura (NMR) holdings?

All reported Nomura holdings in the Form 3 are marked as direct ownership. The Common Stock, Restricted Stock Units and Notional Stock Units each carry direct ownership coding, with no indirect entities or separate ownership structures disclosed.