Nomura officer reports initial share holdings

Nomura Holdings Inc. officer Tobari Akihito has reported his initial ownership position in a Form 3 filing.

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Form Type

Rhea-AI Filing Summary

Nomura Holdings Inc. officer Tobari Akihito has reported his initial ownership position in a Form 3 filing. He holds 94,468 shares of Common Stock directly and 96.374 shares indirectly through an officers' stock ownership plan.

He also holds Restricted Stock Units that each represent the right to receive one share of Common Stock. These RSUs cover 17,100 underlying shares with an exercise date of April 1, 2026, 13,200 underlying shares with an exercise date of April 1, 2027, and 8,500 underlying shares with an exercise date of April 1, 2028. The RSUs have an exercise price of 0.0000 and no separate expiration date.

Insider Trade Summary

5 transactions reported

Mixed 5 txns

Insider Tobari Akihito

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 — 38,800 contracts (Direct); Common Stock — 94,468 shares (Direct); Common Stock — 96.374 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: 94,468 shares Indirect Common Stock holdings: 96.374 shares RSUs underlying shares (2026 exercise date): 17,100 shares +3 more

6 metrics

Direct Common Stock holdings 94,468 shares Total shares of Common Stock held directly as of the Form 3

Indirect Common Stock holdings 96.374 shares Held through officers' stock ownership plan

RSUs underlying shares (2026 exercise date) 17,100 shares Restricted Stock Units exercisable on April 1, 2026

RSUs underlying shares (2027 exercise date) 13,200 shares Restricted Stock Units exercisable on April 1, 2027

RSUs underlying shares (2028 exercise date) 8,500 shares Restricted Stock Units exercisable on April 1, 2028

RSU exercise price 0.0000 Exercise price per underlying Common Stock share for RSUs

Key Terms

Restricted Stock Units, officers' stock ownership plan, Form 3

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.

officers' stock ownership plan financial

"Common Stock held indirectly and described as held in officers' stock ownership plan."

Form 3 regulatory

"The Form 3 filing shows Tobari Akihito’s initial reported ownership in Nomura Holdings."

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

FAQ

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

What does the Tobari Akihito Form 3 filing for Nomura Holdings (NMR) show?

The Form 3 filing shows Tobari Akihito’s initial reported ownership in Nomura Holdings. It lists his direct and indirect Common Stock holdings and multiple Restricted Stock Unit awards, each representing the right to receive one share of Common Stock at an exercise price of 0.0000.

How many Nomura Holdings (NMR) common shares does Tobari Akihito hold directly and indirectly?

Tobari Akihito holds 94,468 shares of Nomura Holdings Common Stock directly. He also holds 96.374 shares indirectly through an officers' stock ownership plan, giving him both personal and plan-based exposure to the company’s equity according to the Form 3 disclosure.

What Restricted Stock Units are reported for Tobari Akihito in Nomura Holdings (NMR)?

He reports three Restricted Stock Unit positions tied to Common Stock. They cover 17,100 underlying shares, 13,200 underlying shares, and 8,500 underlying shares. Each Restricted Stock Unit represents the right to receive one share of Common Stock with an exercise price of 0.0000.

When do Tobari Akihito’s Restricted Stock Units in Nomura Holdings (NMR) become exercisable?

His Restricted Stock Units have exercise dates of April 1, 2026, April 1, 2027, and April 1, 2028. Each RSU series corresponds to 17,100, 13,200, and 8,500 underlying Common Stock shares respectively, with no separate expiration date disclosed in the Form 3.

What does the footnote about Restricted Stock Units mean in the Nomura (NMR) filing?

The footnote explains that each Restricted Stock Unit represents the right to receive one share of Common Stock. It also states there is no separate expiration date, clarifying that the RSUs convert to shares based on the stated exercise dates rather than a distinct expiry.

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

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Accepted by SEC EDGAR 04/10/2026 - 06:08 AM EDT

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^*

Tobari Akihito

(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	94,468	D
Common Stock	96.374	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	17,100	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽²⁾	Common Stock	13,200	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽²⁾	Common Stock	8,500	⁽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 Wealth 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