Nomura Holdings Files Shelf Registration Statement
Ticker: NRSCF · Form: 6-K · Filed: May 17, 2024 · CIK: 1163653
Sentiment: neutral
Topics: shelf-registration, capital-markets, filing
TL;DR
Nomura filed a shelf registration, meaning they're prepping to sell more stock/bonds later.
AI Summary
Nomura Holdings, Inc. filed a Form 6-K on May 17, 2024, to report the submission of a shelf registration statement. This filing indicates Nomura's intention to potentially offer and sell securities in the future, though no specific amounts or dates for these offerings were detailed in this report.
Why It Matters
This filing signals Nomura's proactive approach to capital markets, allowing for potential future fundraising or securities issuance without needing a new registration for each offering.
Risk Assessment
Risk Level: low — This is a routine procedural filing related to potential future securities offerings and does not contain immediate financial performance or operational news.
Key Players & Entities
- Nomura Holdings, Inc. (company) — Registrant
- May 17, 2024 (date) — Filing date
- 1-15270 (other) — Commission File Number
FAQ
What is the purpose of the Form 6-K filed by Nomura Holdings, Inc. on May 17, 2024?
The Form 6-K was filed to report the submission of a shelf registration statement.
What does a shelf registration statement allow a company to do?
A shelf registration statement allows a company to register securities it plans to offer and sell in the future, making it easier to issue them later without needing to file a new registration statement each time.
Does this filing specify the amount or type of securities Nomura plans to offer?
No, this filing only reports the submission of the shelf registration statement and does not detail specific amounts or types of securities to be offered.
What is Nomura Holdings, Inc.'s principal executive office address?
Nomura Holdings, Inc.'s principal executive offices are located at 13-1, Nihonbashi 1-chome Chuo-ku, Tokyo 103-8645 Japan.
Under which SEC Act is Nomura Holdings, Inc. filing this report?
Nomura Holdings, Inc. is filing this report under the Securities Exchange Act of 1934.
Filing Stats: 537 words · 2 min read · ~2 pages · Grade level 13 · Accepted 2024-05-17 06:11:56
Filing Documents
- d786088d6k.htm (6-K) — 17KB
- g786088g38g97.jpg (GRAPHIC) — 62KB
- 0001193125-24-141086.txt ( ) — 101KB
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: May 17, 2024 By: /s/ Yoshifumi Kishida Yoshifumi Kishida Senior Managing Director Nomura Submits Shelf Registration Statement Tokyo, May 17, 2024 Nomura Holdings, Inc. (the Company), based on the determination of the Senior Managing Director on May 17, 2024 who is delegated its authority from Executive Management Board, submitted another shelf registration statement regarding the disposition of treasury stock on May 17, 2024 because the planned two-year issuance period of the shelf registration statement regarding the disposition of treasury stock that was filed on May 13, 2022 (effective date: May 25, 2022) will expire on May 24, 2024. 1. Purpose of Shelf Registration To grant Restricted Stock Units (RSUs) based on the RSU plan (the RSU Plan) for directors, executive officers, and employees of the Company and its subsidiaries as deferred compensation using the Companys treasury stock and to grant Performance Share Units (PSUs) based on the PSU plan (the PSU Plan) for directors and executive officers of the Company as deferred compensation using the Companys treasury stock 2. Class of Securities to be Offered Shares of common stock of the Company 3. Scheduled Issue Period For the period from the scheduled effective date of the shelf registration to the date that is two years from such scheduled effective date (From May 25, 2024 to May 24, 2026) 4. Scheduled Issue Amount Maximum amount shall be up to 50,000,000,000 yen. 5.
Use of Proceeds
Use of Proceeds The disposition of treasury stock concerning the shelf registration is conducted based on the RSU Plan and the PSU Plan and is not intended to raise funds. ends For further information please contact: Name Company Telephone Kenji Yamashita Nomura Holdings, Inc. Group Corporate Communications Dept. 81-3-3278-0591 Nomura Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com .