Nomura Holdings Inc 6-K, filed Jan 15, 2020
Nomura Holdings Inc (NMR)
About this 6-K
Nomura Holdings Inc filed this 6-K on January 15, 2020.
Table of Contents
FORM6-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 January 2020
NOMURA HOLDINGS, INC.
(Translation of registrant’s name into English)
9-1, Nihonbashi 1-chome
Chuo-ku, Tokyo 103-8645
Japan
(Address ofprincipal 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):
Table of Contents
Information furnished on this form:
EXHIBIT
Exhibit Number
| 1. | (English Translation) Share Buyback Report for the reporting month from December 1, 2019 to<br> December 31, 2019. |
|---|
Table of Contents
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: January 15, 2020 | By: | /s/ Go Sugiyama |
| Go Sugiyama | ||
| Senior Managing Director |
Table of Contents
[Translation of Share Buyback Report for the reporting month from December 1,2019 to December 31, 2019 filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on January 15, 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”)<br> |
|---|
as of December 31, 2019
| Number of Shares | TotalRepurchaseAmount () | |||
|---|---|---|---|---|
| Authorization pursuant to the resolution of the Board (June 18, 2019)<br><br><br>(Period of repurchase: from June 19, 2019 to March 31, 2020 (excluding the ten business days following the announcement of each quarterly financial<br>results)) | 300,000,000 | |||
| Repurchases during this reporting month (Date of repurchase) | (Date)<br> <br>December 2<br><br><br>December 3<br> <br>December 4<br><br><br>December 5<br> <br>December 6<br><br><br>December 9<br> <br>December 10<br><br><br>December 11<br> <br>December 12<br><br><br>December 13<br> <br>December 16<br><br><br>December 17<br> <br>December 18<br><br><br>December 19<br> <br>December 20<br><br><br>December 23 | 2,893,600<br> <br>3,350,000<br><br><br>3,370,000<br> <br>2,433,300<br><br><br>2,492,400<br> <br>3,550,000<br><br><br>2,446,000<br> <br>3,550,000<br><br><br>2,267,400<br> <br>3,550,000<br><br><br>2,893,700<br> <br>2,247,200<br><br><br>2,115,000<br> <br>3,610,000<br><br><br>3,267,200<br> <br>3,480,000 | ||
| Total | — | 47,515,800 | ||
| Aggregate shares repurchased as of the end of this reporting month | 242,303,400 | |||
| Progress of share repurchase (%) | 80.8 |
All values are in Japanese Yen.
Table of Contents
| 2. | Status of disposition |
|---|
as of December 31, 2019
| Number of shares disposed<br>in the reporting month | Aggregate amount ofdisposition () | ||
|---|---|---|---|
| Treasury shares disposed subject to procedures for issuance of new shares | (Date)<br> <br>— | — | |
| Subtotal | — | — | |
| Treasury shares canceled | (Date)<br> <br>— | — | |
| Subtotal | — | — | |
| Treasury shares transferred upon merger, share exchange or demerger | (Date)<br> <br>— | — | |
| Subtotal | — | — | |
| Other (upon request for purchasing<br>“less-than-a-full-unit shares”) | (Date)<br> <br>December 25 | 76 | |
| Subtotal | — | 76 | |
| Other (exercise of stock acquisition rights) | (Date)<br> <br>December 2<br><br><br>December 3<br> <br>December 4<br><br><br>December 5<br> <br>December 6<br><br><br>December 9<br> <br>December 10<br><br><br>December 11<br> <br>December 13<br><br><br>December 16<br> <br>December 17<br><br><br>December 18<br> <br>December 19<br><br><br>December 20<br> <br>December 23<br><br><br>December 24<br> <br>December 25<br><br><br>December 30 | 112,500<br> <br>54,900<br><br><br>157,500<br> <br>60,800<br><br><br>18,200<br> <br>8,900<br><br><br>5,200<br> <br>84,900<br><br><br>167,700<br> <br>59,400<br><br><br>18,000<br> <br>88,600<br><br><br>17,700<br> <br>135,200<br><br><br>26,000<br> <br>91,500<br><br><br>26,000<br> <br>16,200 | |
| Subtotal | — | 1,149,200 | |
| Total | — | 1,149,276 |
All values are in Japanese Yen.
| 3. | Status of shares held in treasury |
|---|
as of December 31, 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 | 401,513,402 |
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.