Nomura officer files Form 3 listing equity holdings

Nomura Holdings Inc officer Horiuchi Yuko filed an initial Form 3 disclosing existing equity holdings in the company.

Accepted by SEC EDGAR 03/18/2026 - 12:30 PM EDT

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Form Type

Rhea-AI Filing Summary

Nomura Holdings Inc officer Horiuchi Yuko filed an initial Form 3 disclosing existing equity holdings in the company. The filing shows direct ownership of 15,678 shares of Common Stock, plus three grants of Restricted Stock Units tied to 5,400, 3,100, and 1,600 underlying Common shares. Each Restricted Stock Unit represents the right to receive one share of Common Stock with no separate expiration date. The filing reports holdings only and does not show any buy or sell transactions.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Horiuchi Yuko

Role See Remarks

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

Holdings: Restricted Stock Units — 10,100 contracts (Direct); Common Stock — 15,678 shares (Direct)

Footnotes (2)

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

FAQ

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

What does Nomura Holdings (NMR) Form 3 for Horiuchi Yuko disclose?

The Form 3 discloses Horiuchi Yuko’s existing equity holdings in Nomura Holdings. It reports 15,678 directly owned Common Stock shares and three Restricted Stock Unit awards linked to 5,400, 3,100, and 1,600 underlying shares, without showing any purchases or sales.

How many Nomura Holdings (NMR) shares does Horiuchi Yuko directly own?

The filing reports direct ownership of 15,678 shares of Nomura Holdings Common Stock. This figure reflects the number of shares held after the reported entries and is separate from additional Restricted Stock Units that may convert into Common Stock in the future.

What Restricted Stock Units are reported in the Nomura (NMR) Form 3?

The Form 3 lists three Restricted Stock Unit holdings tied to Nomura Common Stock, with 5,400, 3,100, and 1,600 underlying shares. Each unit represents the right to receive one Common share, with no separate expiration date disclosed for these awards in the filing.

Do the Restricted Stock Units in Nomura (NMR) Form 3 have an exercise price?

The Restricted Stock Units carry an exercise or conversion price of 0.0000 per unit. Each unit corresponds to one share of Nomura Common Stock, meaning the holder can receive shares without paying an additional exercise price when the units settle under their award terms.

Does the Nomura (NMR) Form 3 show any insider buying or selling activity?

The Form 3 does not show insider buying or selling activity. All entries are categorized as holdings with unknown transaction codes, presenting existing positions in Common Stock and Restricted Stock Units rather than new market purchases or sales by Horiuchi Yuko.

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^*

Horiuchi Yuko

(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	15,678	D

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	5,400	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽²⁾	Common Stock	3,100	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽²⁾	Common Stock	1,600	⁽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:

Group Finance 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