What Notional Stock Units does Kato Sotaro hold related to Nomura (NMR)?

He holds Notional Stock Units tied to 35,736, 24,279 and 17,156 underlying Nomura Common shares. Each Notional Stock Unit pays cash equal to the value of one share, with exercise dates in 2026, 2027 and 2028 respectively.

Nomura officer reports stock and unit holdings

Nomura Holdings Inc. officer Kato Sotaro filed an initial Form 3 reporting his existing equity-based holdings in the company.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)How Sentiment works

Sentiment and the balance of points

Rhea-AI Sentiment reads the wording of the document, how positive or negative its language is on a 1 to 5 scale. The balance of points shown with the takes weighs what the document actually discloses, so the two can disagree, for example when a trial that missed its main goal is described in upbeat language.

How Sentiment works How the balance works

Form Type

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.

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 contracts (Direct); Notional Stock Units — 77,171 contracts (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.

FAQ

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

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.

How many Nomura (NMR) common shares does Kato Sotaro directly hold?

He directly holds 42,957 shares of Nomura Common Stock. This position is reported as part of his overall beneficial ownership, alongside various equity-based awards that may deliver stock or cash based on Nomura’s share value.

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.

Does Nomura’s Form 3 show Kato Sotaro buying or selling NMR shares?

The Form 3 lists holdings but does not report any buy or sell transactions. All entries are categorized as holdings, reflecting existing Common Stock, Restricted Stock Units and Notional Stock Units rather than open-market or other purchase or sale activity.

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

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Accepted by SEC EDGAR 03/18/2026 - 12:51 PM

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^*

Kato Sotaro

(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	42,957	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	⁽³⁾	Common Stock	42,300	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2027	⁽³⁾	Common Stock	24,300	⁽¹⁾	D
Restricted Stock Units⁽¹⁾	04/01/2028	⁽³⁾	Common Stock	17,100	⁽¹⁾	D
Notional Stock Units⁽²⁾	04/01/2026	⁽³⁾	Common Stock	35,736	⁽²⁾	D
Notional Stock Units⁽²⁾	04/01/2027	⁽³⁾	Common Stock	24,279	⁽²⁾	D
Notional Stock Units⁽²⁾	04/01/2028	⁽³⁾	Common Stock	17,156	⁽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:

Executive Officer, Chief Risk 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