Nomura officer discloses initial share and RSU holdings

Nomura Holdings officer Koike Hiroyasu filed an initial ownership report showing existing equity interests in the company.

Accepted by SEC EDGAR 04/10/2026 - 06:11 AM EDT

Filing Impact

(Moderate)

Filing Sentiment

(Neutral)How Sentiment works

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Form Type

Rhea-AI Filing Summary

Nomura Holdings officer Koike Hiroyasu filed an initial ownership report showing existing equity interests in the company. He holds Restricted Stock Units representing 10,000, 7,700 and 6,200 underlying shares of Common Stock, plus 107,729 Common shares directly and 365.643 shares indirectly through an officers' stock ownership plan. These entries reflect reported holdings rather than new market purchases or sales.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Koike Hiroyasu

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: Restricted Stock Units — 23,900 contracts (Direct); Common Stock — 107,729 shares (Direct); Common Stock — 365.643 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

RSUs tranche 1: 10,000 underlying shares RSUs tranche 2: 7,700 underlying shares RSUs tranche 3: 6,200 underlying shares +2 more

5 metrics

RSUs tranche 1 10,000 underlying shares Restricted Stock Units, each for one Nomura Common share

RSUs tranche 2 7,700 underlying shares Restricted Stock Units, exercise date on 2027-04-01

RSUs tranche 3 6,200 underlying shares Restricted Stock Units, exercise date on 2028-04-01

Direct Common Stock 107,729 shares Directly held Nomura Common Stock as reported

Indirect Common Stock 365.643 shares Held in officers' stock ownership plan

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 Nomura (NMR) Form 3 filing by Koike Hiroyasu show?

The Form 3 shows Koike Hiroyasu’s existing equity holdings in Nomura Holdings. It reports direct Common Stock, indirect shares in an officers' stock ownership plan, and several tranches of Restricted Stock Units linked to future delivery of Common Stock.

How many Nomura (NMR) Restricted Stock Units does Koike Hiroyasu report?

He reports three Restricted Stock Unit positions tied to Common Stock: 10,000 underlying shares, 7,700 underlying shares, and 6,200 underlying shares. Each Unit represents the right to receive one share of Common Stock, with future exercise dates specified in the filing.

How much Nomura (NMR) Common Stock does Koike Hiroyasu hold directly and indirectly?

He reports direct ownership of 107,729 shares of Nomura Common Stock. In addition, he reports indirect ownership of 365.643 shares held through an officers' stock ownership plan, giving a clearer view of both his personal and plan-related share exposure.

Does the Nomura (NMR) Form 3 indicate Koike Hiroyasu bought or sold shares?

The filing lists holdings rather than explicit purchases or sales, with transaction codes shown as unknown and no buy or sell amounts recorded. It serves as an initial ownership snapshot, not a report of new open-market trading activity.

What do the Restricted Stock Units in Nomura (NMR) represent for Koike Hiroyasu?

Each Restricted Stock Unit represents the right to receive one Nomura Common share, with no separate expiration date. The filing ties these Units to future exercise dates, indicating when the underlying Common Stock may be delivered if conditions are satisfied.

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

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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^*

Koike Hiroyasu

(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	107,729	D
Common Stock	365.643	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	10,000	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽²⁾	Common Stock	7,700	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽²⁾	Common Stock	6,200	⁽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:

Head of Investment Management 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