A Form 4 filed on October 23, 2026 by Nomura Holdings Inc officer Ozaki Yukiko disclosed an acquisition of common stock held through an officers' stock ownership plan, along with a note on a prior transfer of shares between accounts.

Key Highlights

  • Reporting person: Ozaki Yukiko, identified in the filing as CHRO (Chief Human Resources Officer) and CHO (Chief Health Officer) of Nomura Holdings Inc (NYSE:NMR; TSE: 8604).
  • Acquisition: 6.936 shares of common stock were acquired (transaction code A) on October 23, 2026, at a price of $9.2 per share, held indirectly through the officers' stock ownership plan.
  • Post-transaction ownership: Following the reported transaction, Ozaki Yukiko beneficially owned 87.724 shares indirectly through the officers' stock ownership plan.
  • Separate direct holding: The filing also lists 21,019 shares held directly (Table I, row 2), reflected as a disposition (D), related to a prior account transfer rather than a market sale.
  • Exchange rate note: The reported share price was converted from Japanese yen to U.S. dollars at JPY156.51 = US$1, the spot rate reported by MUFG Bank, Ltd on October 23, 2026.
  • Prior transfer noted: The filing states that 100 shares were transferred from the officers' stock ownership plan account to a brokerage account in the reporting person's name on June 25, 2026, with no change in total beneficial ownership as a result.

Ozaki Yukiko's October 2026 Stock Ownership Plan Activity at Nomura Holdings

According to the filing, Ozaki Yukiko, serving as CHRO and CHO of Nomura Holdings Inc, reported a transaction dated October 23, 2026. The filing was submitted pursuant to Section 16(a) of the Securities Exchange Act of 1934. The issuer is identified as Nomura Holdings Inc, with NYSE ticker NMR and foreign trading symbol TSE: 8604.

The Form 4 discloses an acquisition of 6.936 shares of common stock at a price of $9.2 per share, held indirectly through the officers' stock ownership plan. The filing notes that this price was converted from Japanese yen using a spot exchange rate of JPY156.51 = US$1, as reported by MUFG Bank, Ltd on the transaction date. Following this acquisition, the reporting person's indirectly held position in the plan stood at 87.724 shares, according to the filing.

The filing also notes a separate line in Table I showing 21,019 shares reflected with a disposition code (D). Per the explanation of responses, this reflects the transfer of 100 shares from the officers' stock ownership plan account to a brokerage account in the reporting person's name on June 25, 2026 - a change that occurred since the reporting person's previous Form 4 filed on May 25, 2026. The filing states explicitly that there was "no change in the total amount of securities beneficially owned as a result of such transfers." The form was signed by Takashi Futaki as Attorney-in-fact on October 23, 2026.

What Was Disclosed

Ozaki Yukiko, CHRO and CHO of Nomura Holdings Inc, disclosed an indirect acquisition of 6.936 common shares at $9.2 through an officers' stock ownership plan on October 23, 2026, with post-transaction indirect beneficial ownership of 87.724 shares.