Nomura officer Ozaki reports initial share holdings

Q: 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.

Q: How many Nomura Holdings (NMR) common shares does Yukiko Ozaki directly hold?

Yukiko Ozaki directly holds 17,486 shares of Common Stock in Nomura Holdings Inc. The filing lists this as a direct ownership position, separate from equity awards and the smaller indirect interest held through an officers’ stock ownership plan account.

Q: What indirect Nomura Holdings (NMR) shares does Yukiko Ozaki report?

Ozaki reports 54.626 Nomura common shares held indirectly in an officers’ stock ownership plan. This is a separate line from her directly owned 17,486 shares. Together, these entries outline both her personal and plan-based exposure to Nomura’s common equity.

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.

Accepted by SEC EDGAR 03/18/2026 - 09:42 AM EDT

Filing Impact

(Moderate)

Filing Sentiment

(Neutral)How Sentiment works

Sentiment and the balance of points

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Form Type

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.

Insider Trade Summary

Holdings reported, no transactions

Holdings

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: Restricted Stock Units — 12,500 contracts (Direct); Notional Stock Units — 2,896 contracts (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

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

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.

How many Nomura Holdings (NMR) common shares does Yukiko Ozaki directly hold?

Yukiko Ozaki directly holds 17,486 shares of Common Stock in Nomura Holdings Inc. The filing lists this as a direct ownership position, separate from equity awards and the smaller indirect interest held through an officers’ stock ownership plan account.

What indirect Nomura Holdings (NMR) shares does Yukiko Ozaki report?

Ozaki reports 54.626 Nomura common shares held indirectly in an officers’ stock ownership plan. This is a separate line from her directly owned 17,486 shares. Together, these entries outline both her personal and plan-based exposure to Nomura’s common equity.

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.

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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^*

Ozaki Yukiko

(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	17,486	D
Common Stock	54.626	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	⁽³⁾	Common Stock	4,900	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽³⁾	Common Stock	4,800	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽³⁾	Common Stock	2,800	⁽¹⁾	D
Notional Stock Units⁽²⁾	04/01/2026	⁽³⁾	Common Stock	2,896	⁽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 Human Resources Officer and Chief Health 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)

Source: View Original Filing on SEC EDGAR