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.
Positive
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Negative
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Insider Trade Summary
7 transactions reported
Mixed
7 txns
Insider
Minami Naotaka
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Notional Stock Units | -- | -- | -- |
| holding | Notional Stock Units | -- | -- | -- |
| holding | Notional Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 6,100 shares (Direct);
Notional Stock Units — 1,508 shares (Direct);
Common Stock — 27,065 shares (Direct)
Footnotes (3)
- F1. Each Restricted Stock Unit represents the right to receive one share of Common Stock.
- F2. Each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock.
- F3. No separate expiration date.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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.
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.