-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LZy/+D9QiVuRL3GbQDzgJFgrThmokqMQjfnjqID+DrxoarEpS+fljYhyzuyee2xR pZLC+XgMgxR6E3MsEoWzPg== 0000902266-08-000011.txt : 20080515 0000902266-08-000011.hdr.sgml : 20080515 20080515133935 ACCESSION NUMBER: 0000902266-08-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080515 DATE AS OF CHANGE: 20080515 EFFECTIVENESS DATE: 20080515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NOMURA HOLDINGS INC CENTRAL INDEX KEY: 0001163653 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10594 FILM NUMBER: 08835894 BUSINESS ADDRESS: STREET 1: 9-1 NIHONBASHI 1-CHOME STREET 2: CHUO-KU 103-8645 CITY: TOKYO JAPAN STATE: M0 ZIP: 00000 13F-HR 1 nhi.txt NHI 13F 1ST QTR 2008 OMB APPROVAL ---------------------------- OMB Number: Expires: Estimated average burden hours per response..... ---------------------------- SEC USE ONLY ---------------------------- ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended March 31, 2008 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. PRIOR FILINGS FOR THE NOMURA GROUP WERE REPORTED UNDER THE NAME NOMURA SECURITIES COMPANY, WITH CIK NUMBER 0000110097. SUBSEQUENT FILINGS WILL BE MADE UNDER THE NAME NOMURA HOLDINGS, INC., CIK NUMBER 0001163653. NOMURA HOLDINGS, INC. (NHI) IS THE PARENT HOLDING COMPANY OF A NUMBER OF OPERATING SUBSIDIARIES, SOME OF WHICH ARE OR MAY BE INSTITUTIONAL INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER SECTION 13(F) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE ACT) AND THE RULES PROMULGATED THEREUNDER. NHI ITSELF DOES NOT DIRECTLY EXERCISE INVESTMENT DISCRETION WITH RESPECT TO ANY SECTION 13(F) SECURITIES POSITIONS. IN THAT NHI'S OWNERSHIP INTEREST IN SUCH OPERATING SUBSIDIARIES IS DEEMED THE EXERCISE OF INVESTMENT DISCRETION REGARDING CERTAIN OF SUCH SUBSIDIARIES' MANAGED ACCOUNTS, THE INFORMATION REQUIRED BY FORM 13F IS REPORTED BY NHI ON BEHALF OF CERTAIN OF NHI'S OPERATING SUBSIDIARIES WHICH ARE INSTITUTIONAL INVESTMENT MANAGERS SUBJECT TO SECTION 13(F)OF THE ACT. Nomura Holdings Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 001-15270 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Brendan G. Daly Head of Compliance and Surveillance 212-667-1246 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Brendan G. Daly ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) New York, NY May 15, 2008 ------------------------------------------ (Place and Date of Signing) Report Type: [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [X] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 15 Form 13F Information Table Value Total: $11,114 (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). 13F File No.: Name: ------------- --------------------- 6. 28-05739 Global Funds Management, S.A. ------------- --------------------- 2. 28-04985 Nomura International plc ------------- --------------------- 4. 28-04993 Nomura Securities (Bermuda) ------------- --------------------- 1. 28-04983 Nomura Securities International, Inc. ------------- ---------------------
1Page 1 07-08-13 14:21:11 FORM 13F INFORMATION TABLE QUARTER ENDING 03/31/2008 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0SHIP FINANCE INTERNATIONAL L G81075106 650 000000024735 SH DEFINED 02 SOLE TSAKOS ENERGY NAVIGATION LTD G9108L108 666 000000021670 SH DEFINED 02 SOLE DRYSHIPS INC Y2109Q101 472 000000007884 SH DEFINED 02 SOLE SEASPAN CORP Y75638109 600 000000021088 SH DEFINED 02 SOLE ABERCROMBIE & FITCH CO 002896207 541 000000007401 SH DEFINED 02 SOLE ALCOA INC 013817101 435 000000012067 SH DEFINED 02 SOLE ALTUS PHARMACEUTICALS INC 02216N105 3,943 000000866624 SH DEFINED 02 SOLE AMERICAN INTL GROUP INC 026874107 813 000000018804 SH DEFINED 02 SOLE AMERICAN SUPERCONDUCTOR CORP 030111108 617 000000026625 SH DEFINED 02 SOLE AMGEN INC 031162100 443 000000010617 SH DEFINED 02 SOLE ARCHER DANIELS MIDLAND CO 039483102 622 000000015113 SH DEFINED 02 SOLE AVENTINE RENEWABLE ENERGY 05356X403 184 000000035566 SH DEFINED 02 SOLE BALDOR ELEC CO 057741100 637 000000022783 SH DEFINED 02 SOLE BANK OF AMERICA CORPORATION 060505104 423 000000011173 SH DEFINED 02 SOLE UAL CORP 902549807 62 000000002900 SH DEFINED 01 SOLE
-----END PRIVACY-ENHANCED MESSAGE-----