Nomura Holdings officer Yukiko Ozaki gets 7-share award

Nomura Holdings Inc. officer Yukiko Ozaki, identified as CHRO and CHO, acquired 7 shares of common stock on October 23, 2026, as a grant or award held indirectly in the officers’ stock ownership plan.

Rhea-AI Filing Summary

Nomura Holdings Inc. officer Yukiko Ozaki, identified as CHRO and CHO, acquired 7 shares of common stock on October 23, 2026, as a grant or award held indirectly in the officers’ stock ownership plan. The reported price was $9.20 per share, converted from Japanese yen using JPY156.51 per US$1. Her reported indirect holdings after the award were 88 shares. She also reported 21,019 shares held directly; a transfer of 100 shares from the plan account to a brokerage account on June 25, 2026, did not change total beneficial ownership.

Insider Trade Summary

Grant/Award: 6.936 shares

Grant/Award 2 txns

Insider Ozaki Yukiko

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	6.936	$9.20	$63.81
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 87.724 shares (Indirect, Held in officers' stock ownership plan); Common Stock — 21,019 shares (Direct)

Footnotes (2)

1. F1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY156.51 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on October 23, 2026.
2. F2. Changes in amount of securities beneficially owned also reflect transfers of 100 shares from officer's stock ownership plan account to a brokerage account in the reporting person's name on June 25, 2026, since the reporting person's filing on Form 4 on May 25, 2026; no change in the total amount of securities beneficially owned as a result of such transfers.

Key Figures

Awarded shares: 7 shares Reported award price: $9.20 per share Spot exchange rate: JPY156.51 per US$1 +3 more

6 metrics

Awarded shares 7 shares Grant or award acquisition on October 23, 2026

Reported award price $9.20 per share Converted from Japanese yen using the October 23, 2026 spot exchange rate

Spot exchange rate JPY156.51 per US$1 October 23, 2026

Indirect shares after award 88 shares Held in the officers’ stock ownership plan after the October 23, 2026 award

Direct shares held 21,019 shares Reported as of October 23, 2026

Shares transferred 100 shares Transferred from the officer’s stock ownership plan account to a brokerage account on June 25, 2026, without changing total beneficial ownership

Key Terms

officers' stock ownership plan, beneficially owned, spot exchange rate

3 terms

officers' stock ownership plan financial

"Held in officers' stock ownership plan"

beneficially owned financial

"total amount of securities beneficially owned"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

spot exchange rate financial

"as spot exchange rate on the Transaction Date"

FAQ

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How many shares did NMR officer Yukiko Ozaki acquire?

Yukiko Ozaki acquired 7 shares of Nomura Holdings common stock on October 23, 2026, as a grant or award held indirectly in the officers’ stock ownership plan. The reported price was $9.20 per share, converted from Japanese yen using JPY156.51 per US$1.

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

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Available on EDGAR 10/26/2026 - 08:15 PM EDT Accepted by SEC EDGAR 10/26/2026 - 08:14 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

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. Issuer Name and Ticker or Trading Symbol
NOMURA HOLDINGS INC [ NMR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

2a. Foreign Trading Symbol
[TSE: 8604]

3. Date of Earliest Transaction (Month/Day/Year)
10/23/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/23/2026		A		6.936	A	$9.2(1)	87.724	I	Held in officers' stock ownership plan
Common Stock								21,019(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY156.51 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on October 23, 2026.

2. Changes in amount of securities beneficially owned also reflect transfers of 100 shares from officer's stock ownership plan account to a brokerage account in the reporting person's name on June 25, 2026, since the reporting person's filing on Form 4 on May 25, 2026; no change in the total amount of securities beneficially owned as a result of such transfers.

Remarks:

CHRO (Chief Human Resources Officer) and CHO (Chief Health Officer)

	/s/ Takashi Futaki, as Attorney-in-fact	10/23/2026
	** 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 4 (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 4: SEC 1474 (03-26)