-----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, Ea2xRCD52/rDxPoKeP1OGjACs8uYF9+W0lQ1vsEjAl9gYqybYgwzEoh20MhEF/Tu QUqBGQtSWFPMaFztOQ20dg== 0000902266-09-000003.txt : 20090217 0000902266-09-000003.hdr.sgml : 20090216 20090217160233 ACCESSION NUMBER: 0000902266-09-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 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: 09613600 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 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 December 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 February 17, 2009 ------------------------------------------ (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: 31 Form 13F Information Table Value Total: $20,387 (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 12/31/2008 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0ACCURIDE CORP 004398103 138 000000600000 SH DEFINED 01 SOLE ALLIS CHALMERS ENERGY INC 019645506 106 000000019400 SH DEFINED 01 SOLE ALTUS PHARMACEUTICALS INC 02216N105 459 000000866624 SH DEFINED 02 SOLE ARMSTRONG WORLD INDS INC NEW 04247X102 856 000000039637 SH DEFINED 01 SOLE COMCAST CORP NEW 20030N200 168 000000010443 SH DEFINED 01 SOLE ORE MARK HOLDING CO INC 218681104 1,253 000000058235 SH DEFINED 01 SOLE DANA HOLDING CORP 235825205 606 000000846303 SH DEFINED 01 SOLE DELTA AIR LINES INC DEL 247361702 802 000000070014 SH DEFINED 01 SOLE FTI CONSULTING INC 302941109 397 000000008900 SH DEFINED 01 SOLE FEDERAL MOGUL CORP 313549404 1,668 000000394474 SH DEFINED 01 SOLE GRACE W R & CO DEL NEW 38388F108 78 000000013221 SH DEFINED 01 SOLE HORNBECK OFFSHORE SVCS INC N 440543106 186 000000011388 SH DEFINED 01 SOLE HUNTSMAN CORP 447011107 182 000000052990 SH DEFINED 01 SOLE IDENIX PHARMACEUTICALS INC 45166R204 1,786 000000301476 SH DEFINED 02 SOLE INNOPHOS HOLDINGS INC 45774N108 463 000000023409 SH DEFINED 01 SOLE JPMORGAN & CHASE & CO 46625H100 315 000000010000 SH DEFINED 01 SOLE MEDCATH CORP 58404W109 188 000000018047 SH DEFINED 01 SOLE MIRANT CORP NEW 60467R100 651 000000034531 SH DEFINED 01 SOLE NRG ENERGY INC 629377508 428 000000018350 SH DEFINED 01 SOLE NYSE EURONEXT 629491101 1,434 000000052400 SH DEFINED 01 SOLE OWENS CORNING NEW 690742101 1,091 000000063073 SH DEFINED 01 SOLE SCOTTS MIRACLE GRO CO 810186106 210 000000007090 SH DEFINED 01 SOLE EMGROUP ENERGY PARTNERS L P 81662W108 110 000000043800 SH DEFINED 01 SOLE SOLUTIA INC 834376501 1,149 000000255491 SH DEFINED 01 SOLE SOVEREIGN BANCORP INC 845905108 1,112 000000373200 SH DEFINED 02 SOLE ARGACEPT INC 87611R306 3,607 000001190476 SH DEFINED 02 SOLE TIME WARNER CABLE INC 88732J108 281 000000013103 SH DEFINED 01 SOLE TYSON FOODS INC 902494103 164 000000018813 SH DEFINED 02 SOLE VIRGIN MEDIA INC 92769L101 152 000000030556 SH DEFINED 01 SOLE WATERS CORP 941848103 18 000000000500 SH DEFINED 01 SOLE WINN DIXIE STORES INC 974280307 316 000000019660 SH DEFINED 01 SOLE
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