POST-EFFECTIVE AMENDMENT NO.1 TO FORM S-8

As filed with the Securities and Exchange Commission on April 3, 2014

Registration Statement No. 333-150267

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

POST-EFFECTIVE AMENDMENT NO.1 TO

FORM S-8

REGISTRATION STATEMENT UNDER THE

SECURITIES ACT OF 1933

 

 

NOMURA HORUDINGUSU KABUSHIKI KAISHA

(Exact Name of Registrant as Specified in Its Charter)

NOMURA HOLDINGS, INC.

(Translation of Registrant’s name into English)

 

 

 

Japan   None

(State or Other Jurisdiction of

Incorporation or Organization)

 

(I.R.S. Employer

Identification No.)

9-1, Nihonbashi 1-chome

Chuo-ku, Tokyo, 103-8645

Japan

(81-3-5255-1000)

(Address of Principal Executive Offices)

 

 

Stock Acquisition Rights (No.9) of Nomura Holdings, Inc.

Stock Acquisition Rights (No.10) of Nomura Holdings, Inc.

Stock Acquisition Rights (No.11) of Nomura Holdings, Inc.

Stock Acquisition Rights (No.12) of Nomura Holdings, Inc.

(Full Title of the Plan)

 

 

Nomura Securities International, Inc.

Worldwide Plaza, 309 West 49th Street

New York, New York 10019-7316

(212-667-9000)

(Name, Address and Telephone Number of Agent for Service)

 

 

 


EXPLANATORY NOTE

Nomura Holdings, Inc. (the “Registrant”) is hereby filing this Post-Effective Amendment No.1 to Form S-8 to amend the Registration Statement on Form S-8 filed on April 16, 2008(File No. 333-150267) (the “Registration Statement”) to deregister shares of the Registrant’s common stock relating to options issued under the Stock Acquisition Rights (No.9), Stock Acquisition Rights (No.10), Stock Acquisition Rights (No.11) and Stock Acquisition Rights (No.12) of Nomura Holdings, Inc.

A total of 5,241,600 shares were registered under the Registration Statement (2,433,100 shares relating to the options under the Stock Acquisition Rights (No.9) of Nomura Holdings, Inc., 985,500 shares relating to the options under the Stock Acquisition Rights (No.10) of Nomura Holdings, Inc., 1,807,000 shares relating to the options under the Stock Acquisition Rights (No.11) of Nomura Holdings, Inc., and 16,000 shares relating to the options under the Stock Acquisition Rights (No.12) of Nomura Holdings, Inc).

Of the 2,433,100 shares relating to the options under the Stock Acquisition Rights (No.9) of Nomura Holdings, Inc., 13,900 shares remained unsold at the termination of the exercise period for the options issued under the Stock Acquisition Rights (No.9) of Nomura Holdings, Inc. on April 24, 2013. Of the 985,500 shares relating to the options under the Stock Acquisition Rights (No.10) of Nomura Holdings, Inc., 2,000 shares remained unsold at the termination of the exercise period for the options issued under the Stock Acquisition Rights (No.10) of Nomura Holdings, Inc. on June 12, 2013. Of the 1,807,000 shares relating to the options under the Stock Acquisition Rights (No.11) of Nomura Holdings, Inc., 1,727,000 shares remained unsold at the termination of the exercise period for the options issued under the Stock Acquisition Rights (No.11) of Nomura Holdings, Inc. on July 6, 2013.


SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Post-Effective Amendment No. 1 to Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city of Tokyo, Japan on April 3, 2014.

 

NOMURA HOLDINGS, INC.
By:  

/s/ Koji Nagai

Name:   Koji Nagai
Title:   Representative Executive Officer

Pursuant to the requirements of the Securities Act of 1933, as amended, this Post-Effective Amendment No. 1 to Registration Statement has been signed by the following persons in the following capacities on April 3, 2014.


Signature

       

Title

/s/ Nobuyuki Koga

Nobuyuki Koga

     

Director

Chairman of the Board of Directors

/s/ Koji Nagai

Koji Nagai

     

Director

Representative Executive Officer

(Principal Executive Officer)

/s/ Atsushi Yoshikawa

Atsushi Yoshikawa

     

Director

Representative Executive Officer

/s/ Hiroyuki Suzuki

Hiroyuki Suzuki

      Director

/s/ David Benson

David Benson

      Director

/s/ Masahiro Sakane

Masahiro Sakane

      Director

/s/ Toshinori Kanemoto

Toshinori Kanemoto

      Director

/s/ Tsuguoki Fujinuma

Tsuguoki Fujinuma

      Director

/s/ Takao Kusakari

Takao Kusakari

      Director

/s/ Dame Clara Furse

Dame Clara Furse

      Director


/s/ Michael Lim Choo San

Michael Lim Choo San

      Director

/s/ Shigesuke Kashiwagi

Shigesuke Kashiwagi

     

Executive Managing Director

(Principal Financial Officer and

Principal Accounting Officer)

/s/ David Findlay

David Findlay

     

Senior Managing Director

(Authorized Representative in the United States)