Nomura Holdings' Akio Hori receives 69-share award

A 200-share transfer from the officers' stock ownership plan to a brokerage account did not change total beneficial ownership.

Rhea-AI Filing Summary

Nomura Holdings Inc. chief information officer Akio Hori received an award of 69 shares of Common Stock on October 23, 2026, held indirectly in the officers' stock ownership plan, at a reported price of $9.20 per share. The price was converted from Japanese yen using the JPY156.51 = US$1 spot exchange rate on the transaction date. Afterward, Hori reported 149 shares indirectly and 60,282 shares directly.

Insider Trade Summary

Grant/Award: 69.369 shares

Grant/Award 2 txns

Insider Hori Akio

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	69.369	$9.20	$638.19
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 148.534 shares (Indirect, Held in officers' stock ownership plan); Common Stock — 60,282 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 200 shares from officer's stock ownership plan account to a brokerage account in the reporting person's name on September 25, 2026, since the reporting person's filing on Form 4 on August 25, 2026; no change in the total amount of securities beneficially owned as a result of such transfers.

Key Figures

Awarded shares: 69 shares Reported price: $9.20 per share Spot exchange rate: JPY156.51 = US$1 +3 more

6 metrics

Awarded shares 69 shares Common Stock award on October 23, 2026

Reported price $9.20 per share Price converted from Japanese yen on October 23, 2026

Spot exchange rate JPY156.51 = US$1 Transaction date exchange rate

Indirect shares after award 149 shares Held in the officers' stock ownership plan after the October 23, 2026 award

Direct shares 60,282 shares Reported on October 23, 2026

Shares transferred between accounts 200 shares Transferred on September 25, 2026; total beneficial ownership did not change

Key Terms

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

3 terms

officers' stock ownership plan financial

"Held in officers' stock ownership plan"

spot exchange rate financial

"using the JPY156.51 = US$1 as spot exchange rate"

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.

FAQ

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

How many shares did NMR's chief information officer receive, and at what price?

Akio Hori received an award of 69 shares of Common Stock on October 23, 2026, at a reported price of $9.20 per share. The price was converted from Japanese yen using a JPY156.51 = US$1 spot exchange rate on that date.

How many NMR shares did Akio Hori report after the award?

After the award, Akio Hori reported 149 shares indirectly through the officers' stock ownership plan and 60,282 shares directly.

What happened to the 200 NMR shares transferred between accounts?

On September 25, 2026, 200 shares were transferred from the officer's stock ownership plan account to a brokerage account in Akio Hori's name. The transfer did not change the total amount of securities beneficially owned.

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

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Available on EDGAR 10/26/2026 - 08:16 PM EDT Accepted by SEC EDGAR 10/26/2026 - 08:15 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^*

Hori Akio

(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		69.369	A	$9.2(1)	148.534	I	Held in officers' stock ownership plan
Common Stock								60,282(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 200 shares from officer's stock ownership plan account to a brokerage account in the reporting person's name on September 25, 2026, since the reporting person's filing on Form 4 on August 25, 2026; no change in the total amount of securities beneficially owned as a result of such transfers.

Remarks:

CIO (Chief Information 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)