Nomura Holdings Inc Chief Information Officer Hori Akio filed a Form 4 with the SEC on October 23, 2026, disclosing an acquisition of common stock through the company's officers' stock ownership plan.

Key Highlights

  • Reporting person: Hori Akio, identified in the filing as Chief Information Officer of Nomura Holdings Inc (NYSE:NMR).
  • Acquisition: 69.369 shares of common stock acquired on October 23, 2026, with a reported price of $9.2 per share, converted from Japanese yen at JPY156.51 = US$1.
  • Post-transaction holdings: Following the reported transaction, Hori Akio beneficially owned 148.534 shares indirectly, held in an officers' stock ownership plan.
  • Separate non-transactional change: A transfer of 200 shares from the officer's stock ownership plan account to a brokerage account in the reporting person's name occurred on September 25, 2026, resulting in no change to total beneficial ownership.
  • Direct holdings reported separately: The filing also lists 60,282 shares disposed of (code D) in Table I, reflecting the separate brokerage account entry noted in the filing's footnotes.
  • Transaction code: The acquisition is coded "A" (acquired) in the filing; no Rule 10b5-1 plan box was checked.

Details of Hori Akio's October 2026 Stock Ownership Plan Acquisition

According to the filing, Hori Akio, serving as Chief Information Officer of Nomura Holdings Inc, reported an acquisition of 69.369 shares of Nomura common stock on October 23, 2026. The filing states the reported price of $9.2 per share was converted from Japanese yen into U.S. dollars using a spot exchange rate of JPY156.51 = US$1, as reported by MUFG Bank, Ltd on the transaction date. The shares are held indirectly through the officers' stock ownership plan. Following the transaction, the filing reports Hori Akio's indirect beneficial ownership at 148.534 shares in that plan.

The filing includes a footnote explaining that a separate transfer of 200 shares from the officer's stock ownership plan account to a brokerage account in the reporting person's name took place on September 25, 2026. This transfer occurred after Hori Akio's previous Form 4 filing on August 25, 2026. According to the filing, this transfer produced "no change in the total amount of securities beneficially owned." The 60,282 figure appearing under disposed securities in Table I reflects this accounting adjustment as described in the footnotes, not an open-market sale.

The Form 4 was signed by Takashi Futaki as attorney-in-fact on October 23, 2026. The filing also references Nomura Holdings' foreign trading symbol TSE: 8604 alongside the NYSE listing symbol NMR. No derivative securities transactions were reported in Table II.

What Was Disclosed

Hori Akio, CIO of Nomura Holdings Inc (NYSE:NMR), disclosed an acquisition of 69.369 common shares at $9.2 per share on October 23, 2026, through the officers' stock ownership plan, bringing indirect beneficial ownership to 148.534 shares.