Hori Akio 4

4 · NOMURA HOLDINGS INC · Filed Apr 28, 2026

AI-generated summary of this filing

Updated Apr 28, 2026

Nomura (NMR) CIO Hori Akio Receives RSUs; Tax-Withheld Shares

What Happened

Hori Akio, Chief Information Officer of Nomura Holdings (NMR), received restricted stock units that converted into common shares. The filing shows an award of 73.682 shares on 2026-04-24 (reported value $620) and the conversion/exercise of 6,100 RSUs on 2026-04-27 (recorded with $0 exercise price). To cover tax obligations, 2,952 shares were withheld on 2026-04-27 at $7.71 per share for a withholding amount of $22,760. Net shares retained by the insider after withholding were about 3,221.682 shares.

Key Details

Transaction dates & reported prices:
- 2026-04-24: Award (A) — 73.682 shares @ $8.41 (value $620) (USD conversion per F1).
- 2026-04-27: Conversion/Exercise (M) — 6,100 shares @ $0.00 (acquired).
- 2026-04-27: Tax withholding (F) — 2,952 shares @ $7.71 (disposed) = $22,760 (USD conversion per F4).
Total shares acquired (gross): 6,173.682; shares withheld for taxes: 2,952; net shares received: ~3,221.682.
Footnotes of note:
- F2/F5: These were Restricted Stock Units (each RSU = 1 share) that vested on Apr 1 and were settled in shares on Apr 27.
- F3: Shares were withheld to satisfy tax withholding obligations (cashless tax withholding).
- F1/F4: USD values converted from JPY using MUFG Bank spot rates reported for the transaction dates.
Filing: Report filed 2026-04-28 covering transactions from 2026-04-24 to 2026-04-27. The filing does not indicate a late-report flag.

Context

This was an award/settlement of RSUs (not an open-market purchase or sale). The $0 exercise price reflects conversion of RSUs into shares rather than exercising options requiring cash. The withholding of shares for taxes is routine and not an open-market sale signal.

Form 4

Period: 2026-04-24

See Remarks

Transactions

Award
Common Stock
[F1]
2026-04-24$8.41/sh+73.682$620→ 155.153 total(indirect: Held in officers' stock ownership plan)
Exercise/Conversion
Common Stock
[F2]
2026-04-27+6,100→ 62,134 total
Tax Payment
Common Stock
[F3][F4]
2026-04-27$7.71/sh−2,952$22,760→ 59,182 total
Exercise/Conversion
Restricted Stock Units
[F2][F5][F6]
2026-04-27−6,100→ 5,500 total
→ Common stock (6,100 underlying)

Footnotes (6)

[F1]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.
[F2]Restricted Stock Units vested on April 1, 2026 and were settled in shares on April 27, 2026.
[F3]Shares were withheld to satisfy tax withholding obligations in connection with the settlement of the Restricted Stock Units.
[F4]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.
[F5]Each Restricted Stock Unit represents the right to receive one share of Common Stock.
[F6]No separate Expiration Date.

Signature

/s/ Takashi Futaki, as Attorney-in-fact|2026-04-28

1 file