Form 6-K NOMURA HOLDINGS INC For: Nov 10

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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 2016

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):             

 

 

 

 

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Information furnished on this form:

EXHIBIT

 

Exhibit Number
1.		(English Translation) Share Buyback Report for the reporting month from October 1, 2016 to October 31, 2016

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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 10, 2016				By:		/s/ Hajime Ikeda
						Hajime Ikeda
						Senior Managing Director

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[Translation of Share Buyback Report for the reporting month from October 1, 2016 to October 31, 2016 filed with the Director General of the Kanto Finance Bureau by Nomura Holdings, Inc. on November 10, 2016]

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, 2016
		Number of Shares								Total Repurchase Amount (JPY)
Authorization pursuant to the resolution of the Board (July 28, 2016)
(Period of repurchase: from August 15, 2016 to January 27, 2017 (excluding the period between October 28, 2016 to November 11, 2016))							100,000,000				45,000,000,000
Repurchases during this reporting month (Date of repurchase)			(Date)
			October 3				2,434,500				1,115,946,040
			October 4				1,217,200				566,323,760
			October 5				1,217,200				570,737,970
			October 6				1,217,200				581,203,080
			October 7				1,217,200				570,950,780
			October 11				1,234,500				583,169,780
			October 12				1,234,500				570,426,590
			October 13				1,234,500				570,126,070
			October 14				1,234,500				566,188,230
			October 17				1,278,800				597,455,100
			October 18				1,278,800				595,115,110
			October 19				1,278,800				608,151,040
			October 20				1,278,800				626,246,850
			October 21				1,278,800				631,844,730
			October 24				1,249,600				609,247,130
			October 25				1,249,600				617,628,860
			October 26				1,249,600				615,085,780
			October 27				1,249,600				620,390,580
Total			—				23,633,700				11,216,237,480
Aggregate shares repurchased as of the end of this reporting month							62,114,800				29,172,523,200
Progress of share repurchase (%)							62.1				64.8

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2.	Status of disposition

 

 

								as of October 31, 2016
		Number of shares disposed in the reporting month						Aggregate amount of disposition (JPY)
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 3			16,500				314,500
		October 6			18,400				18,400
		October 12			612,100				612,100
		October 13			15,500				15,500
		October 17			1,800				1,800
		October 20			2,000				596,000
		October 21			293,000				888,000
		October 24			692,900				692,900
		October 25			860,600				860,600
		October 26			131,600				1,616,600
		October 27			213,100				1,995,100
		October 28			4,900				600,900
		October 31			2,188,500				2,188,500
Subtotal		—			5,050,900				10,400,900
Total		—			5,050,900				10,400,900

 

3.	Status of shares held in treasury

 

		as of October 31, 2016
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			285,138,988

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