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Nomura officer gets stock grant at $9.87 a share

NOMURA HOLDINGS INC (NMR) reported that officer Yukiko Ozaki received a grant of 6.545 shares of common stock on August 25, 2026 as a grant, award, or other acquisition.

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

Rhea-AI Filing Summary

NOMURA HOLDINGS INC (NMR) reported that officer Yukiko Ozaki received a grant of 6.545 shares of common stock on August 25, 2026 as a grant, award, or other acquisition. The shares are held indirectly in an officers' stock ownership plan, bringing that indirect plan holding to 74.613 shares.

A separate holding entry shows 21,019 direct shares of common stock in Ozaki's name after transfers. A footnote states that transfers of 100 shares from the officers' stock ownership plan to a brokerage account on June 25, 2026 did not change the total securities beneficially owned.

Positive

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Negative

  • None.
Insider Ozaki Yukiko
Role See Remarks
Type Security Shares Price Value
Grant/Award Common Stock F1 6.545 $9.87 $64.60
holding Common Stock F2 -- -- --
Holdings After Transaction: Common Stock — 74.613 shares (Indirect, Held in officers' stock ownership plan); Common Stock — 21,019 shares (Direct)
Footnotes (2)
  1. F1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.23 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on August 25, 2026.
  2. 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.
Shares acquired 6.545 shares of Common Stock Grant, award, or other acquisition on August 25, 2026
Transaction price per share $9.87 per share Converted from JPY using JPY159.23 = US$1 spot exchange rate on August 25, 2026
Indirect holdings after transaction 74.613 shares of Common Stock Held in officers' stock ownership plan after August 25, 2026 grant
Direct holdings after transfers 21,019.0000 shares of Common Stock Directly held by reporting person, as of reporting date
Exchange rate used for price conversion JPY159.23 = US$1 Spot exchange rate on August 25, 2026 reported by MUFG Bank, Ltd
Shares transferred between accounts 100 shares Transferred from officers' stock ownership plan to brokerage account on June 25, 2026
officers' stock ownership plan financial
"Held in officers' stock ownership plan"
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.
indirect financial
"Held in officers' stock ownership plan"
spot exchange rate financial
"using the JPY159.23 = US$1 as spot exchange rate on the Transaction Date"
Form 4 regulatory
"since the reporting person's filing on Form 4 on May 25, 2026"
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

What insider transaction did NMR report for Yukiko Ozaki on August 25, 2026?
NOMURA HOLDINGS INC reported that Yukiko Ozaki received a grant of 6.545 shares of common stock on August 25, 2026, recorded as a grant, award, or other acquisition and held indirectly in an officers' stock ownership plan.

At what price was the 6.545-share grant to Yukiko Ozaki of NMR recorded?
The 6.545-share grant to Yukiko Ozaki was recorded at $9.87 per share, with the price converted from Japanese yen using a JPY159.23 = US$1 spot exchange rate reported by MUFG Bank, Ltd on August 25, 2026.

How many NMR shares does Yukiko Ozaki hold indirectly after the August 25, 2026 grant?
Following the August 25, 2026 grant, indirect holdings in the officers' stock ownership plan total 74.613 shares of NOMURA HOLDINGS INC common stock for Yukiko Ozaki, according to the Form 4 disclosure.

How many NMR shares does Yukiko Ozaki hold directly after the reported transactions?
The Form 4 shows that 21,019 shares of NOMURA HOLDINGS INC common stock are held directly in the reporting person’s name after the reported activity, separate from the indirect holdings in the officers' stock ownership plan.

Did transfers between accounts change Yukiko Ozaki’s total NMR beneficial ownership?
A footnote explains that transfers of 100 shares from the officers' stock ownership plan to a brokerage account on June 25, 2026 resulted in no change in the total amount of securities beneficially owned by Yukiko Ozaki.

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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*
Ozaki Yukiko
(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)
08/25/2026		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 Stock08/25/2026A6.545A$9.87(1)74.613IHeld in officers' stock ownership plan
Common Stock21,019(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.23 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on August 25, 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-fact08/25/2026
** 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