Does the Nomura (NMR) Form 3 show any recent share purchases or sales by Akio Hori?

The Form 3 does not classify any transactions as purchases or sales. It instead lists Hori’s existing holdings and derivative positions as of the reporting date, with transactions coded as holdings rather than new buy or sell activity.

Nomura officer reports initial share and RSU holdings

Q: How many Nomura (NMR) common shares does Akio Hori directly hold?

Akio Hori directly holds 56,034 shares of Nomura Common Stock. This figure reflects his direct ownership as reported in the Form 3 and serves as the baseline number for his personally held Nomura shares at the time of the filing.

Q: What indirect Nomura (NMR) holdings does Akio Hori report?

He reports indirect ownership of 81.471 shares of Common Stock held in an officers' stock ownership plan. This indicates a small portion of his Nomura holdings is maintained through a company-related plan rather than in his own name directly.

Nomura Holdings Inc. officer Akio Hori filed an initial ownership report showing his equity stake in the company.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)How Sentiment works

Sentiment and the balance of points

Rhea-AI Sentiment reads the wording of the document, how positive or negative its language is on a 1 to 5 scale. The balance of points shown with the takes weighs what the document actually discloses, so the two can disagree, for example when a trial that missed its main goal is described in upbeat language.

How Sentiment works How the balance works

Form Type

Rhea-AI Filing Summary

Nomura Holdings Inc. officer Akio Hori filed an initial ownership report showing his equity stake in the company. He directly holds 56,034 shares of Common Stock and indirectly holds 81.471 shares through an officers' stock ownership plan. He also holds Restricted Stock Units representing rights to receive 6,100, 3,600, and 1,900 shares of Common Stock, with exercise dates in 2026, 2027, and 2028. Each Restricted Stock Unit corresponds to one share of Common Stock and carries no separate expiration date.

Insider Trade Summary

5 transactions reported

Mixed 5 txns

Insider Hori Akio

Role See Remarks

Type	Security	Shares	Price	Value
holding	Restricted Stock Units	--	--	--
holding	Restricted Stock Units	--	--	--
holding	Restricted Stock Units	--	--	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Restricted Stock Units — 11,600 contracts (Direct); Common Stock — 56,034 shares (Direct); Common Stock — 81.471 shares (Indirect, Held in officers' stock ownership plan)

Footnotes (2)

F1. Each Restricted Stock Unit represents the right to receive one share of Common Stock.
F2. No separate expiration date.

Key Figures

Direct common stock holdings: 56,034 shares Indirect common stock holdings: 81.471 shares RSUs underlying shares (2026 exercise date): 6,100 shares +2 more

5 metrics

Direct common stock holdings 56,034 shares Directly held Common Stock as reported by Akio Hori

Indirect common stock holdings 81.471 shares Common Stock held in officers' stock ownership plan

RSUs underlying shares (2026 exercise date) 6,100 shares Restricted Stock Units tied to Common Stock, exercise date 2026-04-01

RSUs underlying shares (2027 exercise date) 3,600 shares Restricted Stock Units tied to Common Stock, exercise date 2027-04-01

RSUs underlying shares (2028 exercise date) 1,900 shares Restricted Stock Units tied to Common Stock, exercise date 2028-04-01

Key Terms

Restricted Stock Units, Common Stock, officers' stock ownership plan

3 terms

Restricted Stock Units financial

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

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Common Stock financial

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

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

officers' stock ownership plan financial

"Held in officers' stock ownership plan"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 3 filing for Nomura (NMR) by Akio Hori show?

The Form 3 shows Akio Hori’s existing equity holdings in Nomura. He reports direct Common Stock ownership, indirect holdings via an officers' stock ownership plan, and several Restricted Stock Unit grants tied to future delivery of Common Stock.

How many Nomura (NMR) common shares does Akio Hori directly hold?

Akio Hori directly holds 56,034 shares of Nomura Common Stock. This figure reflects his direct ownership as reported in the Form 3 and serves as the baseline number for his personally held Nomura shares at the time of the filing.

What indirect Nomura (NMR) holdings does Akio Hori report?

He reports indirect ownership of 81.471 shares of Common Stock held in an officers' stock ownership plan. This indicates a small portion of his Nomura holdings is maintained through a company-related plan rather than in his own name directly.

How many Restricted Stock Units tied to Nomura (NMR) common stock does Akio Hori hold?

He reports three blocks of Restricted Stock Units linked to Nomura Common Stock: 6,100, 3,600, and 1,900 underlying shares. Each unit represents the right to receive one share, with future exercise dates specified in the filing.

What do the Restricted Stock Units in the Nomura (NMR) Form 3 represent?

Each Restricted Stock Unit represents the right to receive one share of Nomura Common Stock. The filing notes these units have no separate expiration date and are associated with specified future exercise dates when the underlying shares may be delivered.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/10/2026 - 06:14 AM

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Hori Akio

(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)
04/01/2026

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

3a. Foreign Trading Symbol
[8604(TSE)]

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	56,034	D
Common Stock	81.471	I	Held in officers' stock ownership plan

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Restricted Stock Units⁽¹⁾	04/01/2026	⁽²⁾	Common Stock	6,100	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽²⁾	Common Stock	3,600	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽²⁾	Common Stock	1,900	⁽¹⁾	D

Explanation of Responses:

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

2. No separate expiration date.

Remarks:

Chief Information Officer Exhibit 24: Power of Attorney

	/s/ Takashi Futaki, as Attorney-in-fact	04/09/2026
	** 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)

Source: View Original Filing on SEC EDGAR