STOCK TITAN
  1. Home
  2. Sec-filings
  3. NMR
  4. [Form 4] NOMURA HOLDINGS INC Insider Trading Activity

Nomura (NYSE: NMR) executive settles 9,200 RSUs and withholds shares for tax

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

Rhea-AI Filing Summary

NOMURA HOLDINGS INC officer Hiroyuki Moriuchi reported routine equity compensation activity. On April 27, 2026, 9,200 Restricted Stock Units were settled into an equal number of common shares after vesting on April 1, 2026, with each unit representing one share.

In connection with this settlement, 4,376 common shares were disposed of to satisfy tax withholding obligations at a reported price of $7.71 per share, converted from Japanese yen using a JPY159.56 = $1 rate. Following these transactions, Moriuchi holds 35,052 common shares directly. The filing shows compensation-related exercises and tax withholding, not open‑market buying or selling.

Positive

  • None.

Negative

  • None.
Insider Moriuchi Hiroyuki
Role See Remarks
Type Security Shares Price Value
Exercise Restricted Stock Units 9,200 $0.00 --
Exercise Common Stock 9,200 $0.00 --
Tax Withholding Common Stock 4,376 $7.71 $34K
Holdings After Transaction: Restricted Stock Units — 11,600 shares (Direct, null); Common Stock — 35,052 shares (Direct, null)
Footnotes (1)
  1. Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026. Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units. 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. Each Restricted Stock Unit represents the right to receive one share of Common Stock. No separate Expiration Date.
RSUs settled 9,200 units Restricted Stock Units settled into common stock on April 27, 2026
Tax withholding shares 4,376 shares Common shares withheld to satisfy tax obligations on April 27, 2026
Reported share price $7.71 per share Value of withheld shares, converted from JPY at 159.56 = $1
Shares held after transaction 35,052 shares Direct Nomura common stock holdings after April 27, 2026 events
Remaining RSUs 11,600 units Restricted Stock Units balance after reported derivative transaction
FX rate used JPY159.56 = $1 Spot exchange rate used to convert transaction price into U.S. dollars
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 security financial
"transaction_code_description": "Exercise or conversion of derivative security""
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
exercise or conversion financial
"transaction_action": "derivative exercise/conversion""
spot exchange rate financial
"using the JPY159.56 = US$1 as spot exchange rate on the Transaction Date"
Form 4 Insider Transactions: What Each Field Means →
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*
Moriuchi Hiroyuki
(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)
04/27/2026		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 Stock(1)04/27/2026M9,200A$035,052D
Common Stock(2)04/27/2026F4,376D$7.71(3)30,676D
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(1)(4)(4)04/27/2026M9,200 (1) (5)Common stock9,200$011,600D
Explanation of Responses:
1. Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026.
2. Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units.
3. 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.
4. Each Restricted Stock Unit represents the right to receive one share of Common Stock.
5. No separate Expiration Date.
Remarks:
Executive Officer, CFO (Chief Financial 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

FAQ

What insider transactions did Nomura (NMR) officer Hiroyuki Moriuchi report?

Hiroyuki Moriuchi reported settlement of 9,200 Restricted Stock Units into common stock and a related tax-withholding share disposition. These are compensation and tax events, not open-market trades, and leave him with 35,052 Nomura common shares held directly afterward.

How many Nomura (NMR) shares were issued from Moriuchi’s RSUs?

Moriuchi had 9,200 Restricted Stock Units settled into 9,200 Nomura common shares. Each RSU represents the right to receive one share, so the vesting and settlement directly increased his common stock holdings before accounting for tax withholding.

What was the size of the tax withholding disposition in Nomura (NMR) shares?

To cover tax withholding obligations from the RSU settlement, 4,376 Nomura common shares were withheld. This disposition is an administrative tax payment method rather than an open-market sale and is reported under transaction code F in the Form 4.

At what price were the withheld Nomura (NMR) shares valued?

The withheld 4,376 shares were valued at a reported price of $7.71 per share. That U.S. dollar price was calculated from Japanese yen using an exchange rate of JPY159.56 per $1, as reported by MUFG Bank on April 27, 2026.

How many Nomura (NMR) shares does Moriuchi hold after these transactions?

After the RSU settlement and tax withholding, Hiroyuki Moriuchi directly holds 35,052 Nomura common shares. This figure reflects his position following the exercise of 9,200 Restricted Stock Units and the disposition of 4,376 shares for tax obligations.

When did Moriuchi’s Nomura (NMR) Restricted Stock Units vest and settle?

The Restricted Stock Units vested on April 1, 2026 and were settled in Nomura common shares on April 27, 2026. The Form 4 ties the vesting to subsequent share issuance and related tax withholding reported on the April 27, 2026 transaction date.