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 2011.

 

 

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, 2011 and Ratio of Earnings to Fixed Charges and Computation Thereof for the Five Fiscal Years Ended March 31, 2011

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 on September 30, 2010 and (ii) in the prospectus that is part of the Registration Statement on Form F-3, as amended (Registration No. 333-165049) of the registrant, filed with the Securities and Exchange Commission on February 24, 2010.

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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 30, 2011   By:  

/s/ Junko Nakagawa

    Junko Nakagawa
    Executive 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. (“Company”) as of March 31, 2011. There has been no material change in the Company’s capitalization and indebtedness since March 31, 2011.

 

     (Millions of yen)  
     As of
March 31, 2011		  

Short-term borrowings

    ¥ 1,167,077   

Long-term borrowings

      8,402,917   

NHI shareholders’ equity:

   

Common stock

   

Authorized—6,000,000,000 shares at March 31, 2011

   

Issued—3,719,133,241 shares at March 31, 2011

   

Outstanding—3,600,886,932 shares at March 31, 2011

      594,493   

Additional paid-in capital

      646,315   

Retained earnings

      1,069,334   

Accumulated other comprehensive loss

      (129,696 ) 
        

Total NHI shareholders’ equity before treasury stock

      2,180,446   

Common stock held in treasury, at cost—118,246,309 shares at March 31, 2011

      (97,692 ) 
        

Total NHI shareholders’ equity

      2,082,754   

Noncontrolling interests

      8,882   
        

Total equity

      2,091,636   
        

Total capitalization and indebtedness

    ¥ 11,661,630   
        

 

The Company and certain of its subsidiaries enter 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 as of March 31, 2011 was ¥8,512 million.

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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 the Company for the five fiscal years ended March 31, 2011, in accordance with U.S. GAAP.

 

     (Millions of yen)  
     Fiscal year ended March 31,  
     2007      2008     2009     2010      2011  

Earnings:

             

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

    ¥ 265,135       ¥ (75,327 )    ¥ (774,731 )    ¥ 92,323       ¥ 81,653   

Add: Fixed charges

      958,000         806,465        351,884        205,929         254,794   

Distributed income of equity investees

      3,093         10,035        7,307        4,827         4,802   
                                          

Earnings as defined

    ¥ 1,226,228       ¥ 741,173      ¥ (415,540 )    ¥ 303,079       ¥ 341,249   
                                          

Fixed charges

    ¥ 958,000       ¥ 806,465      ¥ 351,884      ¥ 205,929       ¥ 254,794   

Ratio of earnings to fixed charges(1)

      1.3         —          —          1.5         1.3   

Fixed charge deficiency(2)

      —           65,292        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 years ended March 31, 2008 and 2009 were insufficient to cover fixed charges.