Ozaki Yukiko 4

What Happened

• Ozaki Yukiko, Nomura Holdings’ Chief Human Resources Officer and Chief Health Officer, received equity awards on May 25, 2026 (reported on Form 4). The filing shows an acquisition of 84.183 shares at an implied price of $8.21 each (total reported value $691) plus three derivative awards totaling 4,031 notional stock units (1,344 + 1,344 + 1,343) reported at $0.00. Transaction code = A (award/grant).

Key Details

• Transaction date: 2026-05-25; Form 4 filed: 2026-05-27 (timely filing).
• Reported prices/values: 84.183 shares @ $8.21 (total $691). The 4,031 notional units are reported at $0.00 on the form.
• Footnotes: F1 - USD amounts converted from JPY using JPY158.91 = US$1 (spot rate 5/25/2026). F2 - Each Notional Stock Unit = right to receive cash equal to one share of common stock. F3 - No separate expiration date for the units.
• Shares owned after the transaction: not disclosed in this filing.
• Transaction type: Award/grant (not an open-market purchase or sale).

Context

• The 4,031 items are not traditional shares but "notional stock units" (cash-settled rights), meaning they represent a future cash payment equal to the value of common shares rather than immediate issuance of tradable stock. The filing does not show any immediate sale or exercise; these are grants reported as acquisitions.