Nomura (NYSE: NMR) officer discloses common stock and unit holdings
Rhea-AI Filing Summary
Nomura Holdings Inc. officer Kato Sotaro filed an initial Form 3 reporting his existing equity-based holdings in the company. He directly holds 42,957 shares of Common Stock. He also holds Restricted Stock Units tied to 42,300, 24,300 and 17,100 underlying shares of Common Stock, scheduled to exercise on April 1, 2026, April 1, 2027 and April 1, 2028, respectively. In addition, he holds Notional Stock Units linked to 35,736, 24,279 and 17,156 underlying shares of Common Stock with the same respective exercise dates, where each unit pays cash equal to the value of one share.
Positive
- None.
Negative
- None.
Insider Trade Summary
7 transactions reported
Mixed
7 txns
Insider
Kato Sotaro
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 | Notional Stock Units | -- | -- | -- |
| holding | Notional Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 83,700 shares (Direct);
Notional Stock Units — 77,171 shares (Direct);
Common Stock — 42,957 shares (Direct)
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.
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What does the Form 3 filing by Nomura Holdings Inc. (NMR) report for Kato Sotaro?
The filing reports Kato Sotaro’s existing ownership in Nomura, including direct Common Stock and multiple blocks of Restricted and Notional Stock Units. It is an initial statement of holdings, not a disclosure of new stock purchases or sales.
What Restricted Stock Units are reported for Kato Sotaro in Nomura’s Form 3?
He holds Restricted Stock Units over 42,300, 24,300 and 17,100 underlying Nomura Common shares. Each unit represents the right to receive one share, with scheduled exercise dates in 2026, 2027 and 2028 respectively, at an exercise price of 0.0000.
Do the units in the Nomura (NMR) Form 3 filing have an expiration date?
The filing states there is no separate expiration date for the reported units. The key dates disclosed are the respective exercise dates in 2026, 2027 and 2028, when stock or cash value may be delivered under the awards.