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
Supplement for the month of October 2003.
Total number of pages: 7.
The exhibit index is located on page 2.
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):
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 |
Page Number | |
| 4 | ||
| 2. [(English Translation) Report on Corporate Stock Repurchase] |
5 |
2
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. | ||
| By: |
/s/ MASANORI ITATANI | |
| Masanori Itatani Senior Managing Director | ||
Date: October 8, 2003
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Notice of Treasury Stock Changes
Nomura Holdings, Inc. (NHI) reports on the treasury stock changes during the second quarter of the fiscal year ended March 31, 2004, pursuant to Section 204.33 of the NYSE Listed Company Manual. The details are as follows:
| 1. Type of shares: |
NHI common stock |
| 2. Report period: |
July 1, 2003 through September 30, 2003 |
| 3. Number of shares repurchased: |
None |
| 4. Aggregate purchase amount: |
None |
| 5. Number of treasury shares disposed: |
4,650,000 shares |
| 6. Aggregate disposal amount: |
7,966,752,000 yen |
Reference:
1) Details of the stock repurchase program authorized at the 99th Annual General Meeting of Shareholders held on June 26, 2003
| 1. Type of shares: |
NHI common stock |
| 2. Total number of shares authorized for repurchase: |
Up to 100,000,000 shares |
| 3. Total value of shares authorized for repurchase: |
Up to 150 billion yen |
2) For detailed information with respect to the disposal of treasury shares, which was resolved at a meeting of the Executive Management Board held on August 22, 2003 together with the secondary offering of NHI’s shares and secondary offering conducted by exercise of over-allotment option, please refer to the press release entitled “Nomura Announces Secondary Offering of its Shares and Disposal of Treasury Shares”, which was submitted on Form 6-K to the SEC via EDGAR and is available on its website.
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Report on Corporate Stock Repurchase
(report pursuant to Article 24-6, paragraph 1 of Securities and Exchange Law)
Director General of Kanto Finance Bureau
October 8, 2003
Nomura Holdings, Inc.
President & CEO Nobuyuki Koga
Address of Principal Office: 9-1, Nihonbashi 1-chome, Chuo-ku, Tokyo, JAPAN
TEL: 81-3-5255-1000
Contact Person: Nomura Holdings, Inc.
General Manager of General Affairs Dept. Katsuo Tsunematsu
Address of Nearest Contact: Same as the above
TEL: Same as the above
Contact Person: Same as the above
Locations where Copies of Report of Corporate Stock Repurchase are Available for Public Inspection
| Name |
Address | |
| Tokyo Stock Exchange, Inc. |
2-1, Kabutocho, Nihonbashi, Chuo-ku, Tokyo | |
| Osaka Securities Exchange Co., Ltd. |
1-6-10, Kitahama, Chuo-ku, Osaka | |
| Nagoya Stock Exchange Co., Ltd. |
3-3-17, Sakae, Naka-ku, Nagoya | |
| Osaka Branch of Nomura Securities Co., Ltd. |
2-5-4, Kitahama, Chuo-ku, Osaka | |
| Nagoya Branch of Nomura Securities Co., Ltd. |
2-19-22, Nishiki, Naka-ku, Nagoya | |
| Yokohama Branch of Nomura Securities Co., Ltd. |
4-52, Onoecho, Naka-ku, Yokohama | |
| Kobe Branch of Nomura Securities Co., Ltd. |
1-5-32, Sannomiyacho, Chuo-ku, Kobe | |
| Chiba Branch of Nomura Securities Co., Ltd. |
1-14-13, Fujimi, Chuo-ku, Chiba |
(Note) Although the Securities and Exchange Law does not require us to keep the report for public inspection at Osaka, Nagoya, Yokohama, Kobe and Chiba Branches of Nomura Securities Co., Ltd., we will do so for investors’ convenience.
5
(English Translation)
Class of Shares Common Stock
1. State of Corporate Stock Repurchase
(1) State of Repurchase in accordance with the Resolution at Annual General Meeting of Shareholders (“AGM”)
as of September 30, 2003
| Section |
Number of Shares |
Total Value of Shares |
Remarks |
||||
| Resolution at AGM (Resolution on June 26, 2003) |
100,000,000 shares | 150,000,000,000 yen | (Note | ) | |||
| Stock repurchase during this reporting month (Date of Stock Repurchase) |
— | — | |||||
| Aggregate number of shares repurchased as of the end of this reporting month |
— | — | |||||
| Progress with stock repurchase |
— | — |
(Note) The ratio of (i) the total number of shares for authorized for repurchase at the annual general meeting of shareholders pursuant to Article 210, paragraph 1 under the Commercial Code divided by (ii) the total number of outstanding shares as of the date of closing of the annual general meeting of shareholders is 5.1%.
(2) Repurchase from Subsidiaries
Not applicable.
(3) Repurchase for Retirement of Shares by Valuation Allowance
Not applicable.
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(English Translation)
2. Disposal of Treasury Shares
as of September 30, 2003
| Section |
Number of Shares |
Aggregate Disposal Amount |
Remarks |
||||||
| Treasury shares disposed subject to procedures for issuance of new shares |
Sep. 25 | 4,650,000 shares | 7,966,752,000 yen | (Note | ) | ||||
| Total | 4,650,000 shares | 7,966,752,000 yen | |||||||
| Treasury shares retired |
— | — | |||||||
| Treasury shares transferred upon merger, share exchange or corporate separation |
— | — | |||||||
| Treasury shares retired by valuation allowance |
— | — | |||||||
| Total |
4,650,000 shares | 7,966,752,000 yen | |||||||
(Note) The disposal of treasury shares was resolved at a meeting of the Executive Management Board held on August 22, 2003 together with the secondary offering conducted by underwriters and the secondary offering conducted by exercise of over-allotment option.
3. State of Treasury Shares
as of September 30, 2003
| Section |
Number of Shares |
Remarks | ||
| Total number of outstanding shares |
1,965,919,860 shares | |||
| Number of treasury shares |
20,409,000 shares | |||
| Number of treasury shares for retirement of shares by valuation allowance |
— |
(End)
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