FORM6-K
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Report of Foreign Private Issuer
Pursuant to Rule13a-16 or15d-16 of
the Securities Exchange Act of 1934
Commission File Number:1-15270
For the month of October 2019
NOMURA HOLDINGS, INC.
(Translation of registrant’s name into English)
9-1, Nihonbashi1-chome
Chuo-ku, Tokyo103-8645
Japan
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover Form20-F or Form40-F.
Form20-F X Form40-F
Indicate by check mark if the registrant is submitting the Form6-K in paper as permitted by RegulationS-T Rule 101(b)(1):
Indicate by check mark if the registrant is submitting the Form6-K in paper as permitted by RegulationS-T Rule 101(b)(7):
Information furnished on this form:
Exhibit Number
| 1. |
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: October 7, 2019 | By: | /s/ Go Sugiyama | ||||
| Go Sugiyama | ||||||
| Senior Managing Director | ||||||
[Translation of Share Buyback Report for the reporting month from September 1, 2019 to September 30, 2019
filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on October 7, 2019]
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 September 30, 2019
| 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) September 2 September 3 September 4 September 5 September 6 September 9 September 10 September 11 September 12 September 13 September 17 September 18 September 19 September 20 |
| | 3,844,900 3,131,900 4,606,600 3,363,700 5,380,000 2,637,400 3,744,500 2,519,600 4,160,000 3,330,000 2,497,200 4,360,000 2,720,000 3,776,900 |
| | 1,635,938,170 1,360,729,340 2,001,712,830 1,491,625,140 2,392,337,030 1,167,334,470 1,704,647,390 1,192,829,620 1,995,010,250 1,567,596,060 1,185,708,410 2,044,186,370 1,291,556,350 1,805,175,540 |
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Total | — | 50,072,700 | 22,836,386,970 | |||||||||
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| Aggregate shares repurchased as of the end of this reporting month | 95,890,300 | 41,324,724,210 | ||||||||||
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Progress of share repurchase (%) | 32.0 | 27.5 | ||||||||||
2. Status of disposition
as of September 30, 2019
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| 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) — | — | — | |||||||
Subtotal | — | — | — | |||||||
Other (exercise of stock acquisition rights) | September 2 September 3 September 4 September 5 September 6 September 9 September 10 September 11 September 12 September 13 September 17 September 18 September 19 September 20 September 24 September 25 | | 19,800 28,000 19,700 64,200 61,600 17,800 66,800 89,800 86,300 169,300 38,800 178,200 95,900 117,900 68,500 27,700 |
| | 5,662,800 5,077,000 2,009,600 5,410.200 6,595,600 2,393,800 2,442,800 3,356,800 2,759,300 1,357,300 2,117,800 5,227,200 1,283,900 4,572,900 7,196,500 3,591,700 |
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Subtotal | — | 1,150,300 | 61,055,200 | |||||||
Total | — | 1,150,300 | 61,055,200 | |||||||
| 3. | Status of shares held in treasury |
| as of September 30, 2019 | ||||
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 | 261,367,950 | |||
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 forcontribution-in-kind of monetary compensation claims on May 7, 2019.
