FORM 6-K/A
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934
Commission File Number: 1-15270
For the month of April 2009.
NOMURA HOLDINGS, INC.
(Translation of registrants name into English)
9-1, Nihonbashi 1-chome
Chuo-ku, Tokyo 103-8645
Japan
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.
Form 20-F X Form 40-F
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes No X
If Yes is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82-
Information furnished on this form:
Exhibit Number
1. | Corrections to the slide on page 27 of Consolidated Results of Operations (US GAAP), Fourth quarter, year ended March 2009 furnished on Form 6-K on April 27, 2009 |
Note
On April 27, 2009, Nomura Holdings, Inc. (the Company) furnished a Report of Foreign Private Issuer on Form 6-K with the Securities and Exchange Commission regarding Consolidated Results of Operations (US GAAP), Fourth quarter, year ended March 2009. The Company is furnishing this Form 6-K/A in order to amend the net revenue data for Global Fixed Income and Other for the fiscal year ended March 31, 2009 and for the fourth quarter of that fiscal year, which appear on page 27 of the document in Exhibit 1 of the original Form 6-K, as indicated in Exhibit 1 to this report.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
NOMURA HOLDINGS, INC. | ||||
Date: May 1, 2009 | By: | /s/ Shinichiro Watanabe | ||
Shinichiro Watanabe | ||||
Senior Corporate Managing Director |
After correction
Global Markets Related Data (1)
(billions of yen)
FY2008.3 FY2009.3
FY2005.3 FY2006.3 FY2007.3 FY2008.3 FY2009.3 QoQ YoY
4Q 1Q 2Q 3Q 4Q
Global Fixed Income 119.8 173.8 123.1 -119.9 -217.2 -153.9 -35.2 -15.3 -172.1 5.4 - -Global Equities 90.2 168.5 147.9 206.0 98.9 18.0 42.4 26.4 7.3 22.8 213.5% 26.9%
Other 33.1 28.8 19.1 9.5 -38.9 2.7 3.8 -17.6 -6.2 -18.8 - -
Net revenue 243.1 371.1 290.0 95.6 -157.3 -133.3 11.0 -6.5 -171.1 9.4 -
- Non-interest expenses 182.9 213.4 231.2 321.8 417.4 75.6 72.6 80.2 124.4 140.2 12.7% 85.4%
Income before income taxes 60.2 157.7 58.8 -226.2 -574.6 -208.9 -61.6 -86.7 -295.5 -130.8 - -
Notes: In April 2004, Fixed Income, Equity and certain functions of Investment Banking were consolidated to create Global Markets. Figures up to FY2004.3 are the total of Fixed Income and Equity and differ slightly in composition.
Securitization Product Holdings Holdings by Product and Region
As of Mar. 31,2009 Outstanding
Japan Asia Europe US Balance
Commercial Mortgage Backed Securities(CMBS) 10.8 8.1 - - 2.7 *
Residential Mortgage Backed Securities(RMBS) 71.3 35.5 - - 35.8**
Commercial Real Estate Backed Securities 37.7 37.7 - - -
*The 2.7 billion yen shown here is mainly for synthetic CDO business carried out in Europe. In addition to this amount, we had a position of 38.5 billion yen in the US CMBS-related business at the end of March 2009. This has been included in whole loans and is not shown here.
**Fund seed money holding government sponsored enterprise agency mortgages.
Other Securitization Products 54.3 38.8 2.7 7.7 5.1 Total 174.1 120.0 2.7 7.7 43.7
Leveraged Finance* Balance
(billions of yen) As of Mar. 31,2009
Outstanding Remaining Drawn Down Balance Comittments
Japan 9.9 8.0 1.9
Europe 80.5 74.9 5.6 Total 90.3 82.8 7.5 *Loans for leveraged buy-outs and leveraged buy-ins
Japan 9.9 8.0 1.9 Europe 80.5 74.9 5.6 Total 90.3 82.8 7.5 *Loans for leveraged buy-outs and leveraged buy-ins
Japan 8.1 4.3 0.1 0.9 - 2.8 -US 2.7 1.5 0.1 0.0 0.4 - 0.7 Total 10.8 5.8 0.2 0.9 0.4 2.8 0.7
* Government Sponsored Enterprises
CMBS by Rating (billions of yen)
As of Mar. 31,2009 Outstanding Ginnie Mae AAA A BBB BB No Rating Balance GSE* Japan 8.1 4.3 0.1 0.9 - 2.8 -US 2.7 1.5 0.1 0.0 0.4 - 0.7 Total 10.8 5.8 0.2 0.9 0.4 2.8 0.7* Government Sponsored Enterprises
Before correction
Global Markets Related Data (1)
(billions of yen)
FY2005.3 FY2006.3 FY2007.3 FY2008.3 FY2009.3
Fixed Income 119.8 173.8 123.1 -119.9 -169.9 Equity 90.2 168.5 147.9 206.0 98.9 Other 33.1 28.8 19.1 9.5 -86.3 Net revenue 243.1 371.1 290.0 95.6 -157.3 Non-interest expenses 182.9 213.4 231.2 321.8 417.4 Income before income taxes 60.2 157.7 58.8 -226.2 -574.6
FY2008.3 FY2009.3
QoQ YoY
4Q 1Q 2Q 3Q 4Q
-153.9 -35.2 -15.3 -172.1 52.8 - - 18.0 42.4 26.4 7.3 22.8 213.5% 26.9% 2.7 3.8 -17.6 -6.2 -66.2 - - -133.3 11.0 -6.5 -171.1 9.4 - - 75.6 72.6 80.2 124.4 140.2 12.7% 85.4% -208.9 -61.6 -86.7 -295.5 -130.8 - -
Notes: In April 2004, Fixed Income, Equity and certain functions of Investment Banking were consolidated to create Global Markets. Figures up to FY2004.3 are the total of Fixed Income and Equity and differ slightly in composition.
Securitization Product Holdings
Holdings by Product and Region
(billions of yen)
As of Mar. 31, 2009 Outstanding Japan Asia Europe US Balance * Commercial Mortgage Backed Securities (CMBS) 10.8 8.1 - - 2.7 ** Residential Mortgage Backed Securities (RMBS) 71.3 35.5 - - 35.8 Commercial Real Estate Backed Securities 37.7 37.7 - - - Other Securitization Products 54.3 38.8 2.7 7.7 5.1 Total 174.1 120.0 2.7 7.7 43.7
* The 5 billion yen shown here is mainly for synthetic CDO business carried out in Europe. In addition to this amount, we had a position of 38.5 billion yen in the US CMBS-related business at the end of March 2009. This has been included in whole loans and is not shown here. ** Fund seed money holding government sponsored enterprise agency mortgages.
Leveraged Finance* Balance
(billions of yen)
As of Mar. 31, 2009 Outstanding Remaining Drawn Down Balance Comittments Japan 9.9 8.0 1.9 Europe 80.5 74.9 5.6 Total 90.3 82.8 7.5 * Loans for leveraged buy-outs and leveraged buy-ins
CMBS by Rating (billions of yen)
As of Mar. 31, 2009 Outstanding Ginnie Mae AAA A BBB BB No Rating Balance GSE* Japan 8.1 4.3 0.1 0.9 - 2.8 - US 2.7 1.5 0.1 0.0 0.4 - 0.7 Total 10.8 5.8 0.2 0.9 0.4 2.8 0.7
* Government Sponsored Enterprises