6-K 1 d908560d6k.htm FORM 6-K FORM 6-K
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FORM 6-K

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Report of Foreign Private Issuer

Pursuant to Rule 13a-16 or 15d-16 of

the Securities Exchange Act of 1934

Commission File Number: 1-15270

For the month of April 2020

NOMURA HOLDINGS, INC.

(Translation of registrant’s name into English)

9-1, Nihonbashi 1-chome

Chuo-ku, Tokyo 103-8645

Japan

(Address of principal executive offices)

Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.

Form 20-F      X            Form 40-F              

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):             

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):             

 

 

 

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

   NOMURA HOLDINGS, INC.
Date: April 9, 2020    By:  

/s/ Go Sugiyama

     Go Sugiyama
     Senior Managing Director

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[Translation of Share Buyback Report for the reporting month from March 1, 2020 to March 31, 2020 filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on April 9, 2020]

Class of Shares: Common Stock

 

1.

Status of repurchase

 

(1)

Status of a repurchase pursuant to a resolution at a general meeting of shareholders

Not applicable

 

(2)

Status of a repurchase pursuant to a resolution at the meeting of a board of directors (“Board”)

as of March 31, 2020

 

     Number of Shares      Total Repurchase
Amount (JPY)		  

Authorization pursuant to the resolution of the Board (June 18, 2019)

(Period of repurchase: from June 19, 2019 to March 31, 2020 (excluding the ten business days following the announcement of each quarterly financial results))

        300,000,000        150,000,000,000  

Repurchases during this reporting month (Date of repurchase)

     

 (Date)

—  

  

 

     —          —    
    

 

 

     

 

 

  

Total

      —         —          —    
    

 

 

     

 

 

  

Aggregate shares repurchased as of the end of this reporting month

        299,362,300        149,999,997,420  
    

 

 

     

 

 

  

Progress of share repurchase (%)

      99.8        100.0  

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2.

Status of disposition

as of March 31, 2020 

 

     Number of shares disposed in the
reporting month		      Aggregate amount
of disposition (JPY)		  

Treasury shares disposed subject to procedures for issuance of new shares

    (Date)

—  

     —          —    
    

 

 

     

 

 

  

Subtotal

    —       —          —    
    

 

 

     

 

 

  

Treasury shares canceled

    (Date)

—  

     —          —    
    

 

 

     

 

 

  

Subtotal

    —       —          —    
    

 

 

     

 

 

  

Treasury shares transferred upon merger, share exchange or demerger

    (Date)

—  

     —          —    
    

 

 

     

 

 

  

Subtotal

    —       —          —    
    

 

 

     

 

 

  

Other (upon request for purchasing “less-than-a-full-unit shares”)

    (Date)

March 12

March 23

    

 82

14

  

 

     

 39,811

5,432

  

 

    

 

 

     

 

 

  

Subtotal

    —       96        45,243  
    

 

 

     

 

 

  

Other (exercise of stock acquisition rights)

    (Date)

March 2

March 3

March 4

March 5

March 6

March 9

March 10

March 11

March 12

March 13

March 16

March 17

March 18

March 19

March 23

March 24

March 25

March 26

    

 35,500

196,000

28,700

242,300

181,100

3,500

62,900

231,900

103,400

20,700

56,600

33,100

116,500

65,300

30,800

156,300

100,900

32,700

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

     

 35,500

196,000

28,700

242,300

181,100

3,500

62,900

231,900

103,400

20,700

56,600

33,100

116,500

65,300

30,800

156,300

100,900

32,700

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

    

 

 

     

 

 

  

Subtotal

    —       1,698,200        1,698,200  
    

 

 

     

 

 

  

Total

    —               1,698,296        1,743,443  
    

 

 

     

 

 

  

 

3.

Status of shares held in treasury

as of March 31, 2020 

 

As of the end of the reporting month

    Number of Shares  

Total number of issued shares

      3,493,562,601  

Number of shares held in treasury

      454,625,108  

Note) In relation to “2. Status of disposition” and “3. Status of shares held in treasury” above, the disposition of treasury shares relating to Restricted Stock Units as equity compensation is recorded based on the contribution date of a monetary compensation claim. The number of shares held in treasury above therefore includes reduction in number of shares as a result of disposition of treasury shares as equity compensation in exchange for contribution-in-kind of monetary compensation claims on May 7, 2019.