Nomura Holdings Files Quarterly Securities Report via 6-K

TL;DR

**Nomura Holdings just filed its routine quarterly report with the SEC on February 27, 2024.**

AI Summary

NOMURA HOLDINGS, INC. filed a Form 6-K with the U.S. Securities and Exchange Commission on February 27, 2024. This filing, with Commission File Number 1-15270, serves to furnish an English Translation of a Quarterly Securities Report. As a foreign private issuer, Nomura Holdings Inc. indicates it files its annual reports under Form 20-F.

Why It Matters

This is a routine regulatory filing by a foreign private issuer, providing transparency by making its quarterly financial information available to U.S. investors and regulators. It ensures compliance with SEC reporting requirements.

Risk Assessment

Risk Level: low — This 6-K filing is a standard administrative disclosure of a quarterly report and does not inherently indicate new risks or opportunities without the content of the report itself.

Key Players & Entities

• NOMURA HOLDINGS, INC. (company) — registrant
• U.S. SECURITIES AND EXCHANGE COMMISSION (company) — regulator
• February 2024 (date) — period of report
• 20240227 (date) — filed as of date
• 1-15270 (other) — Commission File Number

FAQ

Filing Documents

• d758921d6k.htm (6-K) — 2731KB
• 0001193125-24-046892.txt ( ) — 2732KB

SIGNATURES

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: February 27, 2024 By: /s/ Yoshifumi Kishida Yoshifumi Kishida Senior Managing Director Table of Contents Exhibit 1 Quarterly Securities Report Pursuant to the Financial Instruments and Exchange Act for the Nine Months Ended December 31, 2023 Items included in the Quarterly Securities Report Page

Corporate Information

Part I Corporate Information 1 Item1. Information on Company and Its Subsidiaries and Affiliates 1 1. Selected Financial Data 1 2. Business Overview 1 Item2. Operating and Financial Review 2 1. Risk Factors 2 2. Operating, Financial and Cash Flow Analyses by Management 3 3. Significant Contracts 20 Item3. Company Information 21 1. Share Capital Information 21 2. Directors and Executive Officers Item4. Financial Information 24 Preparation Method of Consolidated Financial Statements and Quarterly Review Certificate 24 1. Consolidated Financial Statements 25 (1) Consolidated Balance Sheets (UNAUDITED) 25 (2) Consolidated Statements of Income (UNAUDITED) 28 (3) Consolidated Statements of Comprehensive Income (UNAUDITED) 30 (4) Consolidated Statements of Changes in Equity (UNAUDITED) 31 (5) Consolidated Statements of Cash Flows (UNAUDITED) 33 Notes to the Consolidated Financial Statements (UNAUDITED) 35 2. Other 127

Information on Guarantor of the Company

Part II Information on Guarantor of the Company Quarterly Review Report of Independent Auditors 128 Note: Translations for the underlined items are attached to this form as below. Table of Contents

Corporate Information

Part ICorporate Information Item1.Information on Company and Its Subsidiaries and Affiliates 1. Selected Financial Data Nine months ended December 31, 2022 Nine months ended December 31, 2023 Three months ended December 31, 2022 Three months ended December 31, 2023 Year ended March 31, 2023 Total revenue (Mil yen) 1,716,061 2,986,540 772,241 1,080,487 2,486,726 Net revenue (Mil yen) 1,010,644 1,116,898 393,658 400,225 1,335,577 Income before income taxes (Mil yen) 126,783 181,756 83,566 78,711 149,474 Net income attributable to Nomura Holdings, Inc. (NHI) shareholders (Mil yen) 85,411 109,113 66,944 50,550 92,786 Comprehensive income attributable to NHI shareholders (Mil yen) 247,509 161,166 (35,475 ) (21,505 ) 283,267 Total equity (Mil yen) 3,199,908 3,360,649 3,224,142 Total assets (Mil yen) 49,242,426 54,752,735 47,771,802 Net income attributable to NHI shareholders per sharebasic (Yen) 28.40 36.08 22.30 16.77 30.86 Net income attributable to NHI shareholders per sharediluted (Yen) 27.44 34.69 21.51 16.10 29.74 Total NHI shareholders equity as a percentage of total assets (%) 6.4 6.0 6.6 Cash flows from operating activities 3 (Mil yen) (1,036,453 ) 580,649 (840,952 ) Cash flows from investing activities 3 (Mil yen) 136,410 (740,058 ) (94,853 ) Cash flows from financing activities (Mil yen) 834,382 582,118 1,291,697 Cash, cash equivalents, restricted cash and restricted cash equivalents at end of period (Mil yen) 3,395,959 4,337,268 3,820,852 1 The selected financial data of Nomura Holdings, Inc. (the Company) and other entities in which it has a controlling financial interest (collectively referred to as Nomura, we, our, or us) are stated in accordance with the accounting principles generally accepted in the United States of America (U.S. GAAP). 2 As the consolidated finan

View Full Filing

View this 6-K filing on SEC EDGAR