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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended December 31, 2010
If amended report check here: |_| Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding
entries.
PRIOR FILINGS FOR THE NOMURA GROUP WERE REPORTED UNDER THE NAME NOMURA
SECURITIES COMPANY, WITH CIK NUMBER 0000110097. SUBSEQUENT FILINGS WILL
BE MADE UNDER THE NAME NOMURA HOLDINGS, INC., CIK NUMBER 0001163653.
NOMURA HOLDINGS, INC. (NHI) IS THE PARENT HOLDING COMPANY OF A NUMBER
OF OPERATING SUBSIDIARIES, SOME OF WHICH ARE OR MAY BE INSTITUTIONAL
INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER
SECTION 13(F) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE ACT) AND THE RULES
PROMULGATED THEREUNDER. NHI ITSELF DOES NOT DIRECTLY EXERCISE INVESTMENT
DISCRETION WITH RESPECT TO ANY SECTION 13(F) SECURITIES POSITIONS. IN
THAT NHI'S OWNERSHIP INTEREST IN SUCH OPERATING SUBSIDIARIES IS DEEMED THE
EXERCISE OF INVESTMENT DISCRETION REGARDING CERTAIN OF SUCH SUBSIDIARIES'
MANAGED ACCOUNTS, THE INFORMATION REQUIRED BY FORM 13F IS REPORTED BY NHI
ON BEHALF OF CERTAIN OF NHI'S OPERATING SUBSIDIARIES WHICH ARE INSTITUTIONAL
INVESTMENT MANAGERS SUBJECT TO SECTION 13(F)OF THE ACT.
Nomura Holdings Inc.
--------------------------------------------------------------------------------
Name of Institutional Investment Manager
1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan
--------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
13F File Number: 001-15270
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Brendan G. Daly Head of Compliance and Surveillance 212-667-1246
--------------------------------------------------------------------------------
Name (Title) (Phone)
/s/ Brendan G. Daly
------------------------------------------
(Manual Signature of Person Duly
Authorized to Submit This Report)
New York, NY February 12, 2010
------------------------------------------
(Place and Date of Signing)
Report Type:
[ ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[X] 13F COMBINATION REPORT.
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
Form 13F Information Table Entry Total: 179
Form 13F Information Table Value Total: 942,319,077
List of Other Included Managers:
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report): (List
in alphabetical order).
13F File No.: Name:
------------- ---------------------
6. 28-05739 Global Funds Management, S.A.
------------- ---------------------
2. 28-04985 Nomura International plc
------------- ---------------------
4. 28-04993 Nomura Securities (Bermuda)
------------- ---------------------
1. 28-04983 Nomura Securities International, Inc.
------------- ---------------------
1Page 1 07-08-13 14:21:11
FORM 13F
INFORMATION TABLE
QUARTER ENDING
09/30/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0
CONSOLIDATED WATER CO INC G23773107 188 000000013218 SH DEFINED 01 SOLE
MARVELL TECHNOLOGY GROUP LTD G5876H105 265 000000012700 SH DEFINED 02 SOLE
SEAGATE TECHNOLOGY G7945J104 298 000000016400 SH DEFINED 02 SOLE
XL CAP LTD G98255105 1,454 000000079350 SH DEFINED 01 SOLE
ALCON INC H01301102 20,715 000000126047 SH DEFINED 01 SOLE
MILLICOM INTL CELLULAR S A L6388F110 855 000000011600 SH DEFINED 01 SOLE
ADOBE SYS INC 00724F101 227 000000006186 SH DEFINED 01 SOLE
ADVANCED BATTERY TECHNOLOG I 00752H102 594 000000148653 SH DEFINED 01 SOLE
ADVANCED MICRO DEVICES INC 007903107 482 000000050000 SH DEFINED 02 SOLE
AETNA INC NEW 00817Y108 8,659 000000269900 SH DEFINED 02 SOLE
ALCOA INC 013817101 89,706 000005564906 SH DEFINED 01 SOLE
ALLEGHENY TECHNOLOGIES INC 01741R102 299 000000006697 SH DEFINED 02 SOLE
ALLIS CHALMERS ENERGY INC 019645506 73 000000019400 SH DEFINED 01 SOLE
ALTAIR NANOTECHNOLOGIES INC 021373105 79 000000090775 SH DEFINED 01 SOLE
AMERICAN EAGLE OUTFITTERS NE 02553E106 889 000000052363 SH DEFINED 01 SOLE
AMERICAN EAGLE OUTFITTERS NE 02553E106 243 000000014353 SH DEFINED 02 SOLE
AMERICAN INTL GROUP INC 026874784 613 000000020473 SH DEFINED 01 SOLE
AMERON INTL INC 030710107 713 000000011243 SH DEFINED 01 SOLE
A123 SYS INC 03739T108 224 000000010000 SH DEFINED 01 SOLE
ARCELORMITTAL SA LUXEMBOURG 03938L104 336 000000007350 SH DEFINED 01 SOLE
ARMSTRONG WORLD INDS INC NEW 04247X102 248 000000006381 SH DEFINED 01 SOLE
ASCENT SOLAR TECHNOLOGIES IN 043635101 150 000000028404 SH DEFINED 01 SOLE
AUTOLIV INC 052800109 468 000000010800 SH DEFINED 02 SOLE
BANK OF AMERICA CORPORATION 060505104 5,768 000000383090 SH DEFINED 01 SOLE
BANK OF NEW YORK MELLON CORP 064058100 4,083 000000145987 SH DEFINED 01 SOLE
BARCLAYS BK PLC 06739F291 787 000000012296 SH DEFINED 01 SOLE
BAXTER INTL INC 071813109 17,389 000000296340 SH DEFINED 01 SOLE
BEACON POWER CORP 073677106 72 000000145780 SH DEFINED 01 SOLE
BIOSANTE PHARMACEUTICALS INC 09065V203 61 000000042300 SH DEFINED 01 SOLE
BRISTOL MYERS SQUIBB CO 110122108 1,213 000000048053 SH DEFINED 01 SOLE
CIGNA CORP 125509109 27,992 000000793662 SH DEFINED 01 SOLE
CIT GROUP INC 125581801 5,013 000000181595 SH DEFINED 01 SOLE
CIT GROUP INC 125581801 1,100 000000039847 SH DEFINED 01 NONE
CIT GROUP INC 125581801 6,888 000000249485 SH DEFINED 02 SOLE
CALGON CARBON CORP 129603106 383 000000027575 SH DEFINED 01 SOLE
CANADIAN SOLAR INC 136635109 1,913 000000066400 SH DEFINED 02 SOLE
CARNIVAL CORP 143658300 2,274 000000071772 SH DEFINED 02 SOLE
CARTER INC 146229109 11,828 000000450599 SH DEFINED 01 SOLE
CENTRAL PAC FINL CORP 154760102 196 000000150000 SH DEFINED 01 SOLE
CHESAPEAKE ENERGY CORP 165167107 907 000000035000 SH DEFINED 02 SOLE
CHEVRON CORP NEW 166764100 247 000000003207 SH DEFINED 02 SOLE
CITIGROUP INC 172967101 279 000000084300 SH DEFINED 01 SOLE
CITIGROUP INC 172967101 2,693 000000805101 SH DEFINED 02 SOLE
CITIGROUP INC 172967101 397 000000120200 SH DEFINED 04 SOLE
COCA COLA CO 191216100 514 000000009000 SH DEFINED 02 SOLE
COLGATE PALMOLIVE CO 194162103 456 000000005500 SH DEFINED 02 SOLE
1Page 2 10-02-11 17:08
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
12/31/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0CON-WAY INC 205944101 243 000000006981 SH DEFINED 01 SOLE
CONTINENTAL AIRLS INC 210795308 1,751 000000097721 SH DEFINED 01 SOLE
CUMMINS INC 231021106 313 000000006845 SH DEFINED 02 SOLE
DANA HOLDING CORP 235825205 5,987 000000552349 SH DEFINED 01 SOLE
DANA HOLDING CORP 235825205 550 000000050781 SH DEFINED 01 NONE
DELTA AIR LINES INC DEL 247361702 302 000000026624 SH DEFINED 01 SOLE
DELTA AIR LINES INC DEL 247361702 4,950 000000435000 SH DEFINED 02 SOLE
DINEEQUITY INC 254423106 297 000000012300 SH DEFINED 02 SOLE
DOW CHEM CO 260543103 2,476 000000089641 SH DEFINED 01 SOLE
EMCORE CORP 290846104 86 000000080994 SH DEFINED 01 SOLE
ENERGY CONVERSION DEVICES IN 292659109 158 000000015000 SH DEFINED 01 SOLE
ENER1 INC 29267A203 598 000000094415 SH DEFINED 01 SOLE
EVERGREEN SOLAR INC 30033R108 406 000000268946 SH DEFINED 01 SOLE
EXELON CORP 30161N101 3,348 000000068522 SH DEFINED 01 SOLE
EXPEDITORS INTL WASH INC 302130109 1,127 000000032441 SH DEFINED 01 SOLE
EXPEDITORS INTL WASH INC 302130109 241 000000006940 SH DEFINED 02 SOLE
FTI CONSULTING INC 302941109 466 000000009900 SH DEFINED 01 SOLE
FEDERAL MOGUL CORP 313549404 1,421 000000082190 SH DEFINED 01 SOLE
FREEPORT-MCMORAN COPPER & GO 35671D782 2,262 000000019675 SH DEFINED 01 NONE
FREEPORT-MCMORAN COPPER & GO 35671D782 1,670 000000014525 SH DEFINED 01 SOLE
FREEPORT-MCMORAN COPPER & GO 35671D857 808 000000010000 SH DEFINED 02 SOLE
FUELCELL ENERGY INC 35952H106 697 000000185597 SH DEFINED 01 SOLE
GENERAL ELECTRIC CO 369604103 1,150 000000076048 SH DEFINED 01 SOLE
GENWORTH FINL INC 37247D106 1,057 000000093210 SH DEFINED 01 SOLE
GEORGIA GULF CORP 373200302 322 000000018529 SH DEFINED 01 NONE
GEORGIA GULF CORP 373200302 2,425 000000139581 SH DEFINED 01 SOLE
GERDAU S A 373737105 371 000000021800 SH DEFINED 04 SOLE
GILEAD SCIENCES INC 375558103 1,817 000000042000 SH DEFINED 01 SOLE
GOLDMAN SACHS GROUP INC 38141G104 891 000000005283 SH DEFINED 01 SOLE
GOLDMAN SACHS GROUP INC 38141G104 419 000000002490 SH DEFINED 02 SOLE
GRACE W R & CO DEL NEW 38388F108 307 000000012121 SH DEFINED 01 SOLE
GROUP 1 AUTOMOTIVE INC 398905109 245 000000008650 SH DEFINED 01 SOLE
GUSHAN ENVIRONMENTAL ENRGY L 40330W106 111 000000084346 SH DEFINED 01 SOLE
HARRIS & HARRIS GROUP INC 413833104 94 000000020689 SH DEFINED 01 SOLE
HEALTH MGMT ASSOC INC NEW 421933102 687 000000094600 SH DEFINED 02 SOLE
HONEYWELL INTL INC 438516106 246 000000006300 SH DEFINED 01 SOLE
HORNBECK OFFSHORE SVCS INC N 440543106 255 000000010988 SH DEFINED 01 SOLE
HUNTINGTON BANCSHARES INC 446150104 79 000000021740 SH DEFINED 02 SOLE
ITT EDUCATIONAL SERVICES INC 45068B109 777 000000008102 SH DEFINED 01 SOLE
IDENIX PHARMACEUTICALS INC 45166R204 664 000000301476 SH DEFINED 02 SOLE
ILLINOIS TOOL WKS INC 452308109 210 000000004359 SH DEFINED 02 SOLE
INNOPHOS HOLDINGS INC 45774N108 278 000000012140 SH DEFINED 01 SOLE
ISHARES INC 464286848 119 000000012268 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287184 223 000000005292 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287234 10,441 000000251614 SH DEFINED 02 SOLE
ISHARES TR INDEX 464287598 237 000000004144 SH DEFINED 02 SOLE
ITAU UNIBANCO HLDG SA 465562106 328 000000014400 SH DEFINED 01 SOLE
IVANHOE MINES LTD 46579N103 642 000000044000 SH DEFINED 01 SOLE
1Page 3 10-02-11 17:08
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
12/31/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0JPMORGAN CHASE & CO 46625H100 2,306 000000055361 SH DEFINED 01 SOLE
JPMORGAN CHASE & CO 46625H100 387 000000009300 SH DEFINED 01 SOLE
JPMORGAN CHASE & CO 46625H100 2,358 000000056400 SH DEFINED 02 SOLE
JOHNSON CTLS INC 478366107 321 000000011800 SH DEFINED 01 SOLE
LAYNE CHRISTENSEN CO 521050104 457 000000015922 SH DEFINED 01 SOLE
LEAP WIRELESS INTL INC 521863308 1,379 000000078583 SH DEFINED 01 SOLE
LEAR CORP 521865204 1,233 000000018234 SH DEFINED 01 SOLE
LEAR CORP 521865204 139 000000002058 SH DEFINED 01 NONE
LINCOLN ELEC HLDGS INC 533900106 261 000000004890 SH DEFINED 02 SOLE
MBIA INC 55262C100 78 000000019800 SH DEFINED 01 SOLE
MARKET VECTORS ETF TR 57060U100 1,224 000000026500 SH DEFINED 01 SOLE
MAXWELL TECHNOLOGIES INC 577767106 523 000000029327 SH DEFINED 01 SOLE
MCKESSON CORP 58155Q103 9,927 000000158832 SH DEFINED 01 SOLE
MEAD JOHNSON NUTRITION CO 582839106 743 000000017011 SH DEFINED 01 SOLE
MEDTRONIC INC 585055106 1,235 000000028096 SH DEFINED 01 SOLE
MICROSOFT CORP 594918104 805 000000026424 SH DEFINED 01 SOLE
MICROSOFT CORP 594918104 319 000000010369 SH DEFINED 02 SOLE
MIRANT CORP NEW 60467R100 168 000000011046 SH DEFINED 01 SOLE
MOSAIC CO 61945A107 1,738 000000029098 SH DEFINED 01 SOLE
MOTOROLA INC 620076109 157 000000020530 SH DEFINED 02 SOLE
MYLAN INC 628530107 2,451 000000133043 SH DEFINED 01 SOLE
NRG ENERGY INC 629377508 9,694 000000410660 SH DEFINED 01 SOLE
NYSE EURONEXT 629491101 1,325 000000052400 SH DEFINED 01 SOLE
NORTHWEST PIPE CO 667746101 634 000000023627 SH DEFINED 01 SOLE
NVIDIA CORP 67066G104 332 000000017700 SH DEFINED 02 SOLE
OM GROUP INC 670872100 391 000000012478 SH DEFINED 01 SOLE
OIL SVC HOLDRS TR 678002106 1,555 000000013088 SH DEFINED 01 SOLE
PEABODY ENERGY CORP 704549104 1,657 000000036700 SH DEFINED 02 SOLE
PETROLEO BRASILEIRO SA PETRO 71654V408 238 000000005000 SH DEFINED 01 SOLE
PFIZER INC 717081103 7,394 000000406494 SH DEFINED 01 SOLE
PHILIP MORRIS INTL INC 718172109 1,741 000000036143 SH DEFINED 01 SOLE
PLUG POWER INC 72919P103 27 000000038902 SH DEFINED 01 SOLE
POWERSHARES QQQ TRUST 73935A104 72,097 000001575905 SH DEFINED 01 SOLE
POWERSHARES INDIA ETF TR 73935L100 366 000000016614 SH DEFINED 01 SOLE
PRUDENTIAL FINL INC 744320102 1,447 000000029084 SH DEFINED 01 SOLE
QUANTUM FUEL SYS TECH WORLDW 74765E109 108 000000097811 SH DEFINED 01 SOLE
QWEST COMMUNICATIONS INTL IN 749121109 43 000000010340 SH DEFINED 01 SOLE
RTI INTL METALS INC 74973W107 387 000000015400 SH DEFINED 02 SOLE
RASER TECHNOLOGIES INC 754055101 166 000000133929 SH DEFINED 01 SOLE
REGIONS FINANCIAL CORP NEW 7591EP100 807 000000152667 SH DEFINED 01 SOLE
REGIONS FINANCIAL CORP NEW 7591EP100 78 000000014980 SH DEFINED 02 SOLE
RENESOLA LTD 75971T103 95 000000020000 SH DEFINED 01 SOLE
RETAIL HOLDRS TR 76127U101 3,889 000000041450 SH DEFINED 01 SOLE
ROWAN COS INC 779382100 298 000000013103 SH DEFINED 02 SOLE
SLM CORP 78442P106 1,637 000000145275 SH DEFINED 01 SOLE
SPDR TR 78462F103 56,865 000000510275 SH DEFINED 01 SOLE
1Page 4 10-02-11 17:08
0 FORM 13F
INFORMATION TABLE
QUARTER ENDING
12/31/2009
NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY
OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0SPDR GOLD TRUST 78463V107 92,887 000000865599 SH DEFINED 01 SOLE
SPDR SERIES TRUST 78464A755 2,952 000000057200 SH DEFINED 02 SOLE
ST JUDE MED INC 790849103 4,024 000000109418 SH DEFINED 01 SOLE
SANDERSON FARMS INC 800013104 660 000000015670 SH DEFINED 02 SOLE
SARA LEE CORP 803111103 487 000000040000 SH DEFINED 01 SOLE
SCOTTS MIRACLE GRO CO 810186106 361 000000009190 SH DEFINED 01 SOLE
SELECT SECTOR SPDR TR 81369Y100 385 000000011700 SH DEFINED 01 SOLE
SELECT SECTOR SPDR TR 81369Y605 1,049 000000072900 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y704 208 000000007492 SH DEFINED 02 SOLE
SELECT SECTOR SPDR TR 81369Y886 266 000000008607 SH DEFINED 02 SOLE
SEMICONDUCTOR HLDRS TR 816636203 9,282 000000332450 SH DEFINED 01 SOLE
SHANDA GAMES LTD 81941U105 41,034 000004026929 SH DEFINED 01 SOLE
SILGAN HOLDINGS INC 827048109 1,447 000000025000 SH DEFINED 01 SOLE
SOLARFUN POWER HOLDINGS CO L 83415U108 152 000000020000 SH DEFINED 01 SOLE
SOLUTIA INC 834376501 2,124 000000167289 SH DEFINED 01 SOLE
SOLUTIA INC 834376501 167 000000013222 SH DEFINED 01 NONE
SOUTHWESTERN ENERGY CO 845467109 6,092 000000126404 SH DEFINED 02 SOLE
STAPLES INC 855030102 5,065 000000205995 SH DEFINED 01 SOLE
SUN MICROSYSTEMS INC 866810203 4,169 000000445000 SH DEFINED 01 SOLE
SUNCOR ENERGY INC NEW 867224107 860 000000024365 SH DEFINED 01 SOLE
SYMYX TECHNOLOGIES 87155S108 88 000000016025 SH DEFINED 01 SOLE
TAIWAN SEMICONDUCTOR MFG LTD 874039100 3,415 000000300000 SH DEFINED 02 SOLE
TAKE-TWO INTERACTIVE SOFTWAR 874054109 6,332 000000630091 SH DEFINED 01 SOLE
TARGACEPT INC 87611R306 5,467 000000259439 SH DEFINED 02 SOLE
TIFFANY & CO NEW 886547108 318 000000007418 SH DEFINED 02 SOLE
TYSON FOODS INC 902494103 643 000000052420 SH DEFINED 02 SOLE
UAL CORP 902549807 129 000000010000 SH DEFINED 04 SOLE
US BANCORP DEL 902973304 980 000000043569 SH DEFINED 01 SOLE
UQM TECHNOLOGIES INC 903213106 184 000000026900 SH DEFINED 01 SOLE
UNITED PARCEL SERVICE INC 911312106 213 000000003700 SH DEFINED 02 SOLE
UNITED STATES STL CORP NEW 912909108 16,010 000000290470 SH DEFINED 01 SOLE
UNITEDHEALTH GROUP INC 91324P102 44,257 000001452014 SH DEFINED 01 SOLE
VCA ANTECH INC 918194101 686 000000027530 SH DEFINED 02 SOLE
VALERO ENERGY CORP NEW 91913Y100 1,736 000000103688 SH DEFINED 01 SOLE
VEOLIA ENVIRONNEMENT 92334N103 685 000000020834 SH DEFINED 01 SOLE
VIRGIN MEDIA INC 92769L101 2,742 000000162338 SH DEFINED 02 SOLE
VISA INC 92826C839 207,678 000002374554 SH DEFINED 01 SOLE
WELLPOINT INC 94973V107 6,547 000000112328 SH DEFINED 01 SOLE
WELLS FARGO & CO NEW 949746101 3,072 000000113825 SH DEFINED 01 SOLE
WELLS FARGO & CO NEW 949746101 587 000000021700 SH DEFINED 02 SOLE
WYNN RESORTS LTD 983134107 267 000000004590 SH DEFINED 02 SOLE
ZOLTEK COS INC 98975W104 303 000000031924 SH DEFINED 01 SOLE