Form 6-K
Table of Contents

 

 

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 November 2016

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):             

 

 

 

 


Table of Contents

Information furnished on this form:

EXHIBIT

 

Exhibit Number

1.    (English Translation) Share Buyback Report for the reporting month from October 1, 2016 to October 31, 2016


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: November 10, 2016     By:  

/s/ Hajime Ikeda

      Hajime Ikeda
      Senior Managing Director


Table of Contents

[Translation of Share Buyback Report for the reporting month from October 1, 2016 to October 31, 2016 filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on November 10, 2016]

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 October 31, 2016  
     Number of Shares      Total Repurchase
Amount (JPY)
 

Authorization pursuant to the resolution of the Board (July 28, 2016)

       

(Period of repurchase: from August 15, 2016 to January 27, 2017 (excluding the period between October 28, 2016 to November 11, 2016))

       100,000,000         45,000,000,000   

Repurchases during this reporting month (Date of repurchase)

     (Date)        
     October 3        2,434,500         1,115,946,040   
     October 4        1,217,200         566,323,760   
     October 5        1,217,200         570,737,970   
     October 6        1,217,200         581,203,080   
     October 7        1,217,200         570,950,780   
     October 11        1,234,500         583,169,780   
     October 12        1,234,500         570,426,590   
     October 13        1,234,500         570,126,070   
     October 14        1,234,500         566,188,230   
     October 17        1,278,800         597,455,100   
     October 18        1,278,800         595,115,110   
     October 19        1,278,800         608,151,040   
     October 20        1,278,800         626,246,850   
     October 21        1,278,800         631,844,730   
     October 24        1,249,600         609,247,130   
     October 25        1,249,600         617,628,860   
     October 26        1,249,600         615,085,780   
     October 27        1,249,600         620,390,580   
    

 

 

    

 

 

 

Total

     —          23,633,700         11,216,237,480   
    

 

 

    

 

 

 

Aggregate shares repurchased as of the end of this reporting month

       62,114,800         29,172,523,200   
    

 

 

    

 

 

 

Progress of share repurchase (%)

       62.1         64.8   


Table of Contents
2. Status of disposition

 

 

            as of October 31, 2016  
     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)

   (Date)     
   October 3     16,500         314,500   
   October 6     18,400         18,400   
   October 12     612,100         612,100   
   October 13     15,500         15,500   
   October 17     1,800         1,800   
   October 20     2,000         596,000   
   October 21     293,000         888,000   
   October 24     692,900         692,900   
   October 25     860,600         860,600   
   October 26     131,600         1,616,600   
   October 27     213,100         1,995,100   
   October 28     4,900         600,900   
   October 31     2,188,500         2,188,500   
    

 

 

    

 

 

 

Subtotal

   —       5,050,900         10,400,900   
    

 

 

    

 

 

 

Total

   —       5,050,900         10,400,900   
    

 

 

    

 

 

 

 

3. Status of shares held in treasury

 

     as of October 31, 2016  

As of the end of the reporting month

   Number of Shares  

Total number of issued shares

     3,822,562,601   

Number of shares held in treasury

     285,138,988