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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
Supplement for the month of October 2009.
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- .
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Information furnished on this form:
EXHIBIT
Exhibit Number
| 1. | Nomura Announces Number of Shares to be Issued on Exercise of Purchase Option |
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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: October 8, 2009 | By: | /s/ Shinichiro Watanabe | ||
| Shinichiro Watanabe | ||||
| Senior Corporate Managing Director | ||||
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Nomura Announces Number of Shares to be Issued
on Exercise of Purchase Option
Tokyo, October 8, 2009—Nomura Holdings, Inc. (the “Company”) today announced that, in relation to the issuance of new shares resolved on September 24, 2009, it has fixed the number of shares to be issued by the exercise of a purchase option granted to the international managers in the offering to be made overseas for the purchase of the additionally issued shares.
The number of shares issued on the exercise of the purchase option by the international managers will be 70,300,000 shares.
| For Reference | ||||||
| 1. | Number of Shares Offered by Public Offering | |||||
| 766,000,000 shares of common stock of the Company (“shares”) which is the sum of (i) through (iii) below. | ||||||
| (i) | 366,000,000 new shares purchased by the Japanese underwriters in the offering made in Japan. | |||||
| (ii) | 329,700,000 new shares purchased by the international managers in the offering made overseas. | |||||
| (iii) | 70,300,000 shares by the exercise of the purchase option granted to the international managers in the offering made overseas for the purchase of the additionally issued shares. | |||||
| 2. | Change in the Number of Outstanding Shares as a Result of this Capital Increase by the Public Offering | |||||
| Total number of outstanding shares at present: | ||||||
| 2,800,840,749 shares (as of August 31, 2009) | ||||||
| Increase in number of shares as a result of the capital increase by public offering: | ||||||
| 766,000,000 shares | ||||||
| Total number of outstanding shares after the capital increase by public offering: | ||||||
| 3,566,840,749 shares | ||||||
This press release does not constitute an offer of securities in the United States. The shares of the Company’s common stock referred to above have not been, and will not be, registered under the United States Securities Act of 1933, as amended, and may not be offered or sold in the United States absent registration thereunder or an applicable exemption from registration requirements.
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| 3. | Use of Proceeds | |||||
| All proceeds, approximately 414,507,382,000 yen, to be raised through the public offering are planned to be used to make investments in (including loans to) the Company’s consolidated subsidiaries in each region to strengthen the Company’s business foundation in Asia (including Japan), Europe, and the US, together with the proceeds of up to approximately 18,310,616,000 yen to be raised through the third-party allotment resolved on the same date as the public offering. These consolidated subsidiaries expect to use such invested and loaned funds for working capital. | ||||||
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For further information please contact:
| Name |
Company |
Telephone | ||
| Toru Namikawa | Nomura Holdings, Inc. | + 81-3-3278-0591 | ||
| Kathy Lindsay | Group Corporate Communications Dept. | |||
Nomura
Nomura is a leading financial services group and the preeminent Asian-based investment bank with worldwide reach. Nomura provides a broad range of innovative solutions tailored to the specific requirements of individual, institutional, corporate and government clients through an international network in over 30 countries. Based in Tokyo and with regional headquarters in Hong Kong, London, and New York, Nomura employs about 26,000 staff worldwide. Nomura’s unique understanding of Asia enables the company to make a difference for clients through five business divisions: domestic retail, global markets, global investment banking, global merchant banking, and asset management. For further information about Nomura, please visit www.nomura.com.
This press release does not constitute an offer of securities in the United States. The shares of the Company’s common stock referred to above have not been, and will not be, registered under the United States Securities Act of 1933, as amended, and may not be offered or sold in the United States absent registration thereunder or an applicable exemption from registration requirements.