Nomura Hldgs SEC Filings

Ogawa Shoji reported acquisition or exercise transactions in this Form 4 filing.

Nomura Holdings director Shoji Ogawa reported a routine equity compensation grant in the form of Common Stock. He received 221.046 shares at $8.41 per share, credited to an officers' stock ownership plan, bringing his indirect holdings in that plan to 497.894 shares. Separately, he directly holds 58,140 shares of Nomura common stock.

Nomura Holdings Inc. officer Mori Takako reported routine equity compensation activity. Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026, delivering 7,900 shares of Common Stock.

In connection with this settlement, 3,779 shares of Common Stock were withheld to satisfy tax withholding obligations at a reported price of $7.71 per share, which is not an open-market sale. After these transactions, Mori directly holds 26,704 shares of Common Stock and 7,600 Restricted Stock Units, each representing the right to receive one share of Common Stock.

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.

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.

Nomura Holdings executive Horiuchi Yuko reported routine equity compensation activity. On April 27, 2026, 5,400 Restricted Stock Units were exercised into an equal number of common shares, following vesting on April 1, 2026. Each unit represented the right to receive one share of common stock.

In connection with this settlement, 2,630 common shares were disposed of to cover tax withholding obligations at a reported price of $7.71 per share, converted from Japanese yen using a JPY159.56 = $1.00 exchange rate. After these transactions, Horiuchi directly owned 18,448 shares of Nomura Holdings common stock.

Nomura Holdings Inc. officer Masahiro Goto reported routine equity compensation activity involving Restricted Stock Units. On April 27, 2026, 69,800 Restricted Stock Units that vested on April 1, 2026 were settled into an equal number of shares of Common Stock, with no cash exercise price.

In connection with this settlement, 30,694 shares were withheld to cover tax withholding obligations, at a reported price of $7.71 per share, which reflects conversion from Japanese yen at JPY159.56 = US$1. After these transactions, Goto directly holds 274,068 shares of Common Stock and 94,800 Restricted Stock Units, each representing the right to receive one share of Common Stock. The withholding is a tax payment mechanism rather than an open-market sale.

Nomura Holdings director Ishizuka Masahiro reported a routine change in ownership of the company’s common stock. He received an indirect grant of 221.046 shares of common stock at $8.41 per share, held in an officers' stock ownership plan, bringing that indirect position to 556.898 shares. Separately, a holding entry shows he directly owns 9,900 shares of common stock after the reported date. The reported dollar price reflects a conversion from Japanese yen using a disclosed spot exchange rate on the transaction date.

Nomura Holdings, Inc. provides a detailed update on its corporate governance, capital efficiency and sustainability initiatives. The company targets income before income taxes of over ¥500 billion and aims to maintain ROE of 8–10% toward 2030 while preserving financial soundness.

ROE has improved from 5.1% for the fiscal year ended March 2024 to 10.0% for the year ended March 2025 and 11.3% for the first half of the year ended March 2026, while PBR reached 1.1x as of December 31, 2025. Nomura also commits to reducing strategic shareholdings by 25% in names held between April 2022 and March 2027 and enhancing board oversight through a majority of outside directors.

The report highlights human capital and diversity goals: female managers at core subsidiary Nomura Securities reached 20.3% and female branch/department managers 10.3% as of April 30, 2025, meeting existing targets. Group-wide, women account for 22% of managers, with a new goal of 30% by 2030, supported by global talent, training, and inclusion programs.

Nomura America Finance is offering issuer‑redeemable contingent coupon barrier notes due October 28, 2027, fully guaranteed by Nomura Holdings, Inc.. The notes pay monthly contingent coupons of at least 0.892% (approx. 10.70% per annum) if both the S&P 500® (SPX) and Russell 2000® (RTY) close on each coupon observation date at or above 65% of their initial values.

If not redeemed early, principal repayment at maturity is linked to the performance of the least performing reference asset: if that asset’s final value is below its 65% barrier, investors face one‑for‑one losses in the least performing asset and may lose up to 100% of principal. The notes are unsecured, unlisted, and subject to Nomura credit risk. Trade date: April 27, 2026; original issue date expected April 30, 2026.