Form 6-K
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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 June 2013.

 

 

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.    Capitalization and Indebtedness as of March  31, 2013 and Ratio of Earnings to Fixed Charges and Computation Thereof for the Five Fiscal Years Ended March 31, 2013

The registrant hereby incorporates Exhibit 1 to this report on Form 6-K by reference (i) in the prospectus that is part of Registration Statement on Form F-3 (Registration No. 333-169682) of the registrant and Nomura America Finance, LLC, filed with the Securities and Exchange Commission (“SEC”) on September 30, 2010 and (ii) in the prospectus that is part of the Registration Statement on Form F-3 (Registration No. 333-186755) of the registrant, filed with the SEC on February 20, 2013.


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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: June 27, 2013     By:  

    /s/ Eiji Miura

          Eiji Miura
          Senior Managing Director


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Exhibit 1

CAPITALIZATION AND INDEBTEDNESS

The following table sets forth, on a U.S. GAAP basis, the consolidated capitalization and indebtedness of Nomura Holdings, Inc, (“NHI”) as of March 31, 2013. There has been no material change in NHI’s capitalization and indebtedness since March 31, 2013.

 

     Millions of yen  
     As of
March 31, 2013
 

Short-term borrowings

   ¥ 738,445   

Long-term borrowings

     7,592,368   

NHI shareholders’ equity:

  

Common stock

  

Authorized—6,000,000,000 shares as of March 31, 2013

  

Issued—3,822,562,601 shares as of March 31, 2013

  

Outstanding—3,710,960,252 shares as of March 31, 2013

     594,493   

Additional paid-in capital

     691,264   

Retained earnings

     1,136,523   

Accumulated other comprehensive income (loss)

     (57,395
  

 

 

 

Total NHI shareholders’ equity before treasury stock

     2,364,885   

Common stock held in treasury, at cost—111,602,349 shares as of March 31, 2013

     (70,514
  

 

 

 

Total NHI shareholders’ equity

     2,294,371   

Noncontrolling interests

     24,612   
  

 

 

 

Total equity

     2,318,983   
  

 

 

 

Total capitalization and indebtedness

   ¥ 10,649,796   
  

 

 

 

 

NHI enters into various guarantee arrangements in the form of standby letters of credit and other guarantees with third parties. The amount of potential future payments under these guarantee contracts outstanding was ¥9,084 million as of March 31, 2013.


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RATIO OF EARNINGS TO FIXED CHARGES AND COMPUTATION THEREOF

The following table sets forth the ratio of earnings to fixed charges and the amount of fixed charge deficiency of NHI for the five fiscal years ended March 31, 2013, in accordance with U.S. GAAP.

 

     Millions of yen  
     Fiscal year ended March 31  
     2009     2010      2011      2012      2013  

Earnings:

             

Pre-tax income (loss) before adjustment for income or loss from equity investees

   ¥ (774,731   ¥ 92,323       ¥ 81,653       ¥ 79,242       ¥ 219,133   

Add: Fixed charges

     351,884        205,929         254,794         315,901         266,313   

Distributed income of equity investees

     7,307        4,827         4,802         4,508         5,568   
  

 

 

   

 

 

    

 

 

    

 

 

    

 

 

 

Earnings as defined

   ¥ (415,540   ¥ 303,079       ¥ 341,249       ¥ 399,651       ¥ 491,014   
  

 

 

   

 

 

    

 

 

    

 

 

    

 

 

 

Fixed charges

   ¥ 351,884      ¥ 205,929       ¥ 254,794       ¥ 315,901       ¥ 266,313   

Ratio of earnings to fixed charges(1)

     —          1.5         1.3         1.3         1.8   

Fixed charge deficiency(2)

     767,424        —           —           —           —     

 

(1) For the purpose of calculating the ratio of earnings to fixed charges, earnings consist of pre-tax income (loss) before adjustment for income or loss from equity investees, plus (i) fixed charges and (ii) distributed income of equity investees. Fixed charges consist of interest expense. Fixed charges exclude premium and discount amortization as well as interest expense, which are included in Net gain (loss) on trading. Fixed charges also exclude interest within rent expense, which is insignificant.
(2) The earnings for the fiscal year ended March 31, 2009 was insufficient to cover fixed charges.