FORM 6-K
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 November 2017
NOMURA HOLDINGS, INC.
(Translation of registrant’s 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):
Information furnished on this form:
| Exhibit Number | ||
| 1. | (English Translation) Share Buyback Report for the reporting month from October 1, 2017 to October 31, 2017 | |
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: November 13, 2017 | By: | /s/ Hajime Ikeda | ||||
| Hajime Ikeda | ||||||
| Senior Managing Director | ||||||
[Translation of Share Buyback Report for the reporting month from October 1, 2017 to October 31, 2017
filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on November 13, 2017]
Class of Shares: Common Stock
| 1. | Status of repurchase |
| (1) | Status of a repurchase pursuant to a resolution at a general meeting of shareholders |
Not applicable
| (2) | Status of a repurchase pursuant to a resolution at the meeting of a board of directors (“Board”) |
as of October 31, 2017
| Number of Shares | Total Repurchase Amount (JPY) |
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| Authorization pursuant to the resolution of the Board (April 27, 2017) |
100,000,000 | 80,000,000,000 | ||||||||||
| Repurchases during this reporting month (Date of repurchase) |
|
(Date) October 2 October 3 October 4 October 5 October 6 October 10 October 11 October 12 October 13 October 16 October 17 October 18 October 19 October 20 October 23 |
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2,672,100 2,632,300 2,845,000 2,845,000 2,845,000 2,412,000 2,572,000 2,572,000 2,502,000 2,469,300 2,016,000 1,956,000 2,016,000 1,759,100 1,658,500 |
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1,688,543,770 1,665,410,670 1,806,303,900 1,809,193,110 1,834,692,690 1,525,131,300 1,632,448,770 1,655,989,690 1,609,715,480 1,626,081,050 1,326,339,070 1,284,541,010 1,335,380,900 1,151,343,080 1,102,061,560 |
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| Total |
— | 35,772,300 | 23,053,176,050 | |||||||||
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| Aggregate shares repurchased as of the end of this reporting month |
100,000,000 | 62,349,404,990 | ||||||||||
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| Progress of share repurchase (%) |
100.0 | 77.9 | ||||||||||
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as of October 31, 2017
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| Number of Shares | Total Repurchase Amount (JPY) |
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| Authorization pursuant to the resolution of the Board (October 30, 2017) (Period of repurchase: from November 15, 2017 to March 30, 2018 (excluding the ten business days following the announcement of each quarterly financial results)) |
70,000,000 | 50,000,000,000 | ||||||||||
| Repurchases during this reporting month (Date of repurchase) |
(Date) — | 0 | 0 | |||||||||
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| Total |
— | 0 | 0 | |||||||||
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| Aggregate shares repurchased as of the end of this reporting month |
0 | 0 | ||||||||||
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| Progress of share repurchase (%) |
0.0 | 0.0 | ||||||||||
| 2. | Status of disposition |
as of October 31, 2017
| Number of shares disposed in the reporting month |
Aggregate amount of disposition (JPY) |
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| Treasury shares disposed subject to procedures for issuance of new shares | (Date) | — | — | |||||||
| Subtotal |
— | — | — | |||||||
| Treasury shares canceled | (Date) | — | — | |||||||
| Subtotal |
— | — | — | |||||||
| Treasury shares transferred upon merger, share exchange or demerger | (Date) | — | — | |||||||
| Subtotal |
— | — | — | |||||||
| Other (upon request for purchasing “less-than-a-full-unit shares”) |
(Date) | — | — | |||||||
| Subtotal |
— | — | — | |||||||
| Other (exercise of stock acquisition rights) |
(Date) October 2 October 3 October 4 October 5 October 6 October 10 October 11 October 12 October 13 October 16 October 17 October 18 October 19 October 20 October 23 October 24 October 25 October 26 October 27 October 30 October 31 |
|
114,800 298,200 6,000 13,100 43,600 23,500 34,500 19,000 9,000 3,500 20,800 4,000 14,000 20,000 90,800 614,600 151,500 228,700 63,400 25,300 13,000 |
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15,211,800 6,584,200 2,844,000 4,743,100 3,125,600 1,915,500 14,598,000 4,276,000 3,389,000 774,500 6,169,800 1,896,000 6,461,000 9,305,000 6,307,800 3,575,600 2,989,500 9,825,700 14,160,400 9,404,900 6,162,000 |
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| Subtotal |
— | 1,811,300 | 133,719,400 | |||||||
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| Total |
— | 1,811,300 | 133,719,400 | |||||||
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| 3. | Status of shares held in treasury |
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as of October 31, 2017
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| As of the end of the reporting month |
Number of Shares | |||
| Total number of issued shares | 3,822,562,601 | |||
| Number of shares held in treasury |
370,043,353 | |||