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Nomura executive settles RSUs, withholds shares for tax

Nomura Holdings executive Akio Hori reported routine equity compensation activity and related tax withholding.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Nomura Holdings executive Akio Hori reported routine equity compensation activity and related tax withholding. On April 27, 2026, Restricted Stock Units representing 6,100 shares of Common Stock were exercised and settled in shares, and 2,952 shares were withheld to cover tax obligations.

Following these transactions, Hori directly held 59,182 shares of Common Stock, and 5,500 Restricted Stock Units remained outstanding. Separately, on April 24, 2026, an additional 73.682 shares of Common Stock were acquired indirectly through an officers' stock ownership plan, bringing that indirect plan holding to 155.153 shares.

Positive

  • None.

Negative

  • None.
Insider Hori Akio
Role See Remarks
Type Security Shares Price Value
Exercise Restricted Stock Units 6,100 $0.00 $0.00
Exercise Common Stock 6,100 $0.00 $0.00
Exercise Price or Tax Liability Common Stock 2,952 $7.71 $23K
Grant/Award Common Stock 73.682 $8.41 $619.67
Holdings After Transaction: Restricted Stock Units — 5,500 contracts (Direct); Common Stock — 155.153 shares (Indirect, Held in officers' stock ownership plan); Common Stock — 59,182 shares (Direct)
Footnotes (6)
  1. F1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.84 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 24, 2026.
  2. F2. Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026.
  3. F3. Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units.
  4. F4. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.56 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 27, 2026.
  5. F5. Each Restricted Stock Unit represents the right to receive one share of Common Stock.
  6. F6. No separate Expiration Date.
RSUs exercised 6,100 shares Restricted Stock Units settled in Common Stock on April 27, 2026
Shares withheld for tax 2,952 shares Withheld to satisfy tax obligations on April 27, 2026
Direct holdings after transactions 59,182 shares Common Stock directly held following April 27, 2026 activity
Remaining RSUs 5,500 units Restricted Stock Units outstanding after the April 27, 2026 settlement
Indirect plan acquisition 73.682 shares Common Stock acquired April 24, 2026 in officers' stock ownership plan
Indirect plan holdings 155.153 shares Common Stock held in officers' stock ownership plan after April 24, 2026
Tax withholding reference price $7.71 per share Common Stock price used for 2,952 withheld shares on April 27, 2026
Plan acquisition reference price $8.41 per share Common Stock price for 73.682 shares in officers' plan on April 24, 2026
Restricted Stock Units financial
"Restricted Stock Units vested on April 1, 2026 and were settled in shares"
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.
tax withholding obligations financial
"Shares were withheld to satisfy tax withholding obligations in connection"
derivative exercise/conversion financial
"transaction_action": "derivative exercise/conversion""
grant, award, or other acquisition financial
"transaction_code_description": "Grant, award, or other acquisition""
officers' stock ownership plan financial
"nature_of_ownership": "Held in officers' stock ownership plan""

FAQ

What insider transactions did Akio Hori report for Nomura Holdings (NMR)?
Akio Hori reported equity compensation activity, including the exercise of 6,100 Restricted Stock Units into Common Stock and the withholding of 2,952 shares for taxes, plus a small acquisition of 73.682 shares through an officers' stock ownership plan.

How many Nomura Holdings (NMR) shares does Akio Hori hold after these transactions?
After the reported transactions, Akio Hori directly held 59,182 shares of Nomura Holdings Common Stock and indirectly held 155.153 shares through an officers' stock ownership plan, along with 5,500 Restricted Stock Units still outstanding.

Were Akio Hori’s Nomura (NMR) transactions open-market buys or sales?
The filing shows no open-market purchases or sales. Shares were acquired through the vesting and settlement of 6,100 Restricted Stock Units, while 2,952 shares were withheld to satisfy tax obligations, a non-market disposition linked to compensation.

What do the Restricted Stock Unit transactions mean for Nomura Holdings (NMR)?
The filing describes 6,100 Restricted Stock Units that vested April 1, 2026 and were settled in shares April 27, 2026. This reflects standard equity compensation for an executive, with 5,500 Restricted Stock Units remaining outstanding afterward.

How were tax obligations handled in Akio Hori’s Nomura (NMR) Form 4?
To cover tax obligations from settling 6,100 Restricted Stock Units, 2,952 Common Stock shares were withheld. This tax-withholding disposition is a common administrative mechanism and does not represent an open-market sale of shares.

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

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SEC Form 4
FORM 4UNITED 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*
Hori Akio
(Last)(First)(Middle)
13-1, NIHONBASHI 1-CHOME, CHUO-KU
(Street)
TOKYOJAPAN103-8645
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
See Remarks
2a. Foreign Trading Symbol
[TSE: 8604]
3. Date of Earliest Transaction (Month/Day/Year)
04/24/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock04/24/2026A73.682A$8.41(1)155.153IHeld in officers' stock ownership plan
Common Stock(2)04/27/2026M6,100A$062,134D
Common Stock(3)04/27/2026F2,952D$7.71(4)59,182D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(2)(5)(5)04/27/2026M6,100 (2) (6)Common stock6,100$05,500D
Explanation of Responses:
1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.84 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 24, 2026.
2. Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026.
3. Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units.
4. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.56 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 27, 2026.
5. Each Restricted Stock Unit represents the right to receive one share of Common Stock.
6. No separate Expiration Date.
Remarks:
CIO (Chief Information Officer)
/s/ Takashi Futaki, as Attorney-in-fact04/28/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR