Nomura Holdings (NYSE: NMR) CHRO Ozaki receives common stock grant

Q: What insider transaction did Ozaki Yukiko report for NOMURA HOLDINGS INC (NMR)?

Ozaki Yukiko reported a grant of 6.1690 shares of Nomura Holdings Inc common stock on July 24, 2026, held indirectly through an officers' stock ownership plan. This was recorded as a grant, award, or other acquisition rather than an open-market purchase or sale.

Q: At what price and exchange rate was Ozaki Yukiko’s NMR stock grant recorded?

The stock grant was valued at $9.8300 per share , with the dollar price converted from Japanese yen. The conversion used a spot exchange rate of JPY164.01 = US$1 , as reported by MUFG Bank, Ltd on July 24, 2026.

Q: How many NOMURA HOLDINGS INC (NMR) shares does Ozaki hold indirectly after this grant?

Following the grant, Ozaki holds 68.0680 shares of Nomura Holdings Inc common stock indirectly through an officers' stock ownership plan. These indirect holdings reflect the cumulative balance in the plan after the 6.1690-share award on July 24, 2026.

Q: What are Ozaki Yukiko’s direct holdings of NMR shares and how were they affected?

Ozaki directly holds 21019.0000 shares of Nomura Holdings Inc common stock. A footnote explains that this amount reflects a transfer of 100 shares from the officers' stock ownership plan to a brokerage account, with no change in total securities beneficially owned.

Q: Was Ozaki Yukiko’s NMR stock grant made under a Rule 10b5-1 trading plan?

No. The Rule 10b5-1 checkbox is not affirmed , and there is no footnote indicating a trading plan, so the reported grant and related holdings updates were not made under a Rule 10b5-1 plan according to the filing.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Ozaki Yukiko, an officer of Nomura Holdings Inc, received a grant of 6.1690 shares of common stock on July 24, 2026 at $9.8300 per share, held indirectly through an officers' stock ownership plan. The dollar price is converted from yen at JPY164.01 = US$1. Indirect plan holdings total 68.0680 shares, and direct holdings total 21019.0000 shares, reflecting a transfer of 100 shares from the plan to a brokerage account with no change in total securities beneficially owned. The filing indicates these transactions were not made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Net Buyer: 6.169 shares

Net Buy 2 txns

Insider Ozaki Yukiko

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock ^F1	6.169	$9.83	$60.64
holding	Common Stock ^F2	--	--	--

Holdings After Transaction: Common Stock — 68.068 shares (Indirect, Held in officers' stock ownership plan); Common Stock — 21,019 shares (Direct)

Footnotes (2)

F1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY164.01 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on July 24, 2026.
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

Common stock granted: 6.1690 shares Grant price: $9.8300 per share FX rate used: JPY164.01 = US$1 +3 more

6 metrics

Common stock granted 6.1690 shares Grant to officer Ozaki Yukiko on 2026-07-24

Grant price $9.8300 per share Price converted from yen for the 2026-07-24 stock grant

FX rate used JPY164.01 = US$1 Spot exchange rate on July 24, 2026 for price conversion

Indirect holdings after grant 68.0680 shares Held in officers' stock ownership plan after the grant

Direct holdings 21019.0000 shares Common stock directly held as of 2026-07-24

Transferred shares 100 shares Moved from officers' stock ownership plan to brokerage account on June 25, 2026

Key Terms

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

4 terms

officers' stock ownership plan financial

"Held in officers' stock ownership plan as indirect ownership"

beneficially owned financial

"Changes in amount of securities beneficially owned also reflect transfers"

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

"using the JPY164.01 = US$1 as spot exchange rate on the Transaction Date"

brokerage account financial

"transfers of 100 shares ... to a brokerage account in the reporting person's name"

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/27/2026 - 10:52 AM Accepted by SEC EDGAR 07/27/2026 - 10:51 AM

FAQ

What insider transaction did Ozaki Yukiko report for NOMURA HOLDINGS INC (NMR)?

Ozaki Yukiko reported a grant of 6.1690 shares of Nomura Holdings Inc common stock on July 24, 2026, held indirectly through an officers' stock ownership plan. This was recorded as a grant, award, or other acquisition rather than an open-market purchase or sale.

At what price and exchange rate was Ozaki Yukiko’s NMR stock grant recorded?

The stock grant was valued at $9.8300 per share, with the dollar price converted from Japanese yen. The conversion used a spot exchange rate of JPY164.01 = US$1, as reported by MUFG Bank, Ltd on July 24, 2026.

How many NOMURA HOLDINGS INC (NMR) shares does Ozaki hold indirectly after this grant?

Following the grant, Ozaki holds 68.0680 shares of Nomura Holdings Inc common stock indirectly through an officers' stock ownership plan. These indirect holdings reflect the cumulative balance in the plan after the 6.1690-share award on July 24, 2026.

What are Ozaki Yukiko’s direct holdings of NMR shares and how were they affected?

Ozaki directly holds 21019.0000 shares of Nomura Holdings Inc common stock. A footnote explains that this amount reflects a transfer of 100 shares from the officers' stock ownership plan to a brokerage account, with no change in total securities beneficially owned.

Was Ozaki Yukiko’s NMR stock grant made under a Rule 10b5-1 trading plan?

No. The Rule 10b5-1 checkbox is not affirmed, and there is no footnote indicating a trading plan, so the reported grant and related holdings updates were not made under a Rule 10b5-1 plan according to the filing.

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)
07/24/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	07/24/2026		A		6.169	A	$9.83⁽¹⁾	68.068	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY164.01 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on July 24, 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	07/27/2026
	** 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)

Source: View Original Filing on SEC EDGAR