Nomura (NYSE: NMR) officer Ozaki details stock, RSU and notional unit holdings
Rhea-AI Filing Summary
Nomura Holdings Inc officer Yukiko Ozaki filed an initial ownership report showing direct and indirect interests in the company’s stock and equity-based awards. Ozaki directly holds 17,486 shares of Common Stock, plus 54.626 shares held indirectly through an officers’ stock ownership plan.
The filing also lists deferred equity awards. Ozaki holds Restricted Stock Units tied to 4,900, 4,800, and 2,800 underlying shares of Common Stock, and Notional Stock Units tied to 2,896 underlying shares. Each Restricted Stock Unit represents the right to receive one share of Common Stock, while each Notional Stock Unit represents a cash amount equal to the value of one share.
Positive
- None.
Negative
- None.
Insider Trade Summary
6 transactions reported
Mixed
6 txns
Insider
Ozaki Yukiko
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 | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 12,500 shares (Direct);
Notional Stock Units — 2,896 shares (Direct);
Common Stock — 17,486 shares (Direct);
Common Stock — 54.626 shares (Indirect, Held in officers' stock ownership plan)
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.
FAQ
What does Yukiko Ozaki’s Form 3 filing for Nomura Holdings (NMR) show?
The Form 3 shows Yukiko Ozaki’s initial ownership in Nomura Holdings Inc, including Common Stock and equity-based awards. It details directly held shares, indirectly held shares in an officers’ plan, and several blocks of Restricted Stock Units and Notional Stock Units linked to Common Stock value.
What Restricted Stock Units does Ozaki hold in Nomura Holdings (NMR)?
Ozaki holds Restricted Stock Units tied to 4,900, 4,800 and 2,800 shares of Nomura common stock. Each unit represents the right to receive one share of Common Stock, providing deferred equity compensation that may settle into shares at future specified dates.
What are the Notional Stock Units reported by Yukiko Ozaki at Nomura (NMR)?
Ozaki holds Notional Stock Units linked to 2,896 underlying shares of Nomura common stock. Each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock, offering cash-settled exposure rather than delivery of actual shares.
Do Ozaki’s Restricted and Notional Stock Units in Nomura (NMR) have exercise prices?
The Restricted Stock Units and Notional Stock Units show a zero exercise price, indicating no cash is required from Ozaki at settlement. Instead, units convert into shares or cash based on Nomura’s common stock value at the applicable future settlement date.
AI-generated analysis. How Rhea-AI works. Not financial advice.
