Form 4 for NMR NOMURA HOLDINGS INC
Accepted 2026-04-28 08:11:50 ET · period of report 2026-04-24 · accession 0001193125-26-183636 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-04-28 08:11 | 2026-04-24+ | NMR | Sugiyama Go | See Remarks | M - OptEx | $0.00 | +69.9K | 66.7K | New | $0 |
| D | 2026-04-28 08:11 | 2026-04-24 | NMR | Sugiyama Go | See Remarks | D - Sale to Iss | $8.21 | -42.1K | 38.9K | -52% | -$345.3K |
| D | 2026-04-28 08:11 | 2026-04-27 | NMR | Sugiyama Go | See Remarks | F - Tax | $7.71 | -12.9K | 53.8K | -19% | -$99.6K |
| DM | 2026-04-28 08:11 | 2026-04-24+ | NMR | Sugiyama Go | See Remarks | M - OptEx | $0.00 | -69.9K | 45.1K | -61% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-04-24 | M | A | 42,060 | — | 80,996 | D | — | — | (F1) Notional Stock Units vested on April 1, 2026 and were settled in cash on April 24, 2026. No shares were issued. (F2) Each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock. |
| 2 | Common | Common Stock | 2026-04-24 | D | D | 42,060 | $8.21 | 38,936 | D | — | — | (F1) Notional Stock Units vested on April 1, 2026 and were settled in cash on April 24, 2026. No shares were issued. (F3) The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.84 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 24, 2026. |
| 3 | Common | Common Stock | 2026-04-27 | M | A | 27,800 | $0.00 | 66,736 | D | — | — | (F4) Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026. |
| 4 | Common | Common Stock | 2026-04-27 | F | D | 12,922 | $7.71 | 53,814 | D | — | — | (F5) Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units. (F6) The reported price has been converted into U.S. dollars from Japanese yen using the JPY159.56 = US$1 as spot exchange rate on the Transaction Date, as reported by MUFG Bank, Ltd on April 27, 2026. |
| 5 | Derivative | Notional Stock Units | 2026-04-24 | M | D | 42,060 | $0.00 | 45,076 | D | — · — to — | 42,060 Common stock | (F1) Notional Stock Units vested on April 1, 2026 and were settled in cash on April 24, 2026. No shares were issued. (F2) Each Notional Stock Unit represents the right to receive cash equal in value to one share of Common Stock. (F1) Notional Stock Units vested on April 1, 2026 and were settled in cash on April 24, 2026. No shares were issued. (F7) No separate Expiration Date. |
| 6 | Derivative | Restricted Stock Units | 2026-04-27 | M | D | 27,800 | $0.00 | 45,100 | D | — · — to — | 27,800 Common stock | (F4) Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026. (F8) Each Restricted Stock Unit represents the right to receive one share of Common Stock. (F8) Each Restricted Stock Unit represents the right to receive one share of Common Stock. (F4) Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026. (F7) No separate Expiration Date. |