-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Qv9zo2RctxZuOSYJwNM3btCCbvTBbi3T400t8Wk3DV+Xpg/FS0WTaHqbPXCsJxUZ Iv1GxtZM/Qul+YkuUNY8hA== 0000902266-08-000003.txt : 20080214 0000902266-08-000003.hdr.sgml : 20080214 20080214141233 ACCESSION NUMBER: 0000902266-08-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 EFFECTIVENESS DATE: 20080214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NOMURA HOLDINGS INC CENTRAL INDEX KEY: 0001163653 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10594 FILM NUMBER: 08613043 BUSINESS ADDRESS: STREET 1: 9-1 NIHONBASHI 1-CHOME STREET 2: CHUO-KU 103-8645 CITY: TOKYO JAPAN STATE: M0 ZIP: 00000 13F-HR 1 nhi.txt 13F Q4 2007 NHI OMB APPROVAL ---------------------------- OMB Number: Expires: Estimated average burden hours per response..... ---------------------------- SEC USE ONLY ---------------------------- ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended December 31, 2007 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. PRIOR FILINGS FOR THE NOMURA GROUP WERE REPORTED UNDER THE NAME NOMURA SECURITIES COMPANY, WITH CIK NUMBER 0000110097. SUBSEQUENT FILINGS WILL BE MADE UNDER THE NAME NOMURA HOLDINGS, INC., CIK NUMBER 0001163653. NOMURA HOLDINGS, INC. (NHI) IS THE PARENT HOLDING COMPANY OF A NUMBER OF OPERATING SUBSIDIARIES, SOME OF WHICH ARE OR MAY BE INSTITUTIONAL INVESTMENT MANAGERS FOR THE PURPOSES OF THE REPORTING REQUIREMENTS UNDER SECTION 13(F) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE ACT) AND THE RULES PROMULGATED THEREUNDER. NHI ITSELF DOES NOT DIRECTLY EXERCISE INVESTMENT DISCRETION WITH RESPECT TO ANY SECTION 13(F) SECURITIES POSITIONS. IN THAT NHI'S OWNERSHIP INTEREST IN SUCH OPERATING SUBSIDIARIES IS DEEMED THE EXERCISE OF INVESTMENT DISCRETION REGARDING CERTAIN OF SUCH SUBSIDIARIES' MANAGED ACCOUNTS, THE INFORMATION REQUIRED BY FORM 13F IS REPORTED BY NHI ON BEHALF OF CERTAIN OF NHI'S OPERATING SUBSIDIARIES WHICH ARE INSTITUTIONAL INVESTMENT MANAGERS SUBJECT TO SECTION 13(F)OF THE ACT. Nomura Holdings Inc. - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 001-15270 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: David A. Leibowitz Head of Compliance and Surveillance 212-667-9387 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ David A.Leibowitz ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) New York, NY February 14, 2008 ------------------------------------------ (Place and Date of Signing) Report Type: [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [X] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 155 Form 13F Information Table Value Total: $355,018 (thousands) List of Other Included Managers: Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). 13F File No.: Name: ------------- --------------------- 6. 28-05739 Global Funds Management, S.A. ------------- --------------------- 2. 28-04985 Nomura International plc ------------- --------------------- 4. 28-04993 Nomura Securities (Bermuda) ------------- --------------------- 1. 28-04983 Nomura Securities International, Inc. ------------- ---------------------
1Page 1 07-08-13 14:21:11 FORM 13F INFORMATION TABLE QUARTER ENDING 12/31/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0FOSTER WHEELER LTD G36535139 740 000000004775 SH DEFINED 01 SOLE SCOTTISH RE GROUP LIMITED G73537410 87 000000120355 SH DEFINED 01 SOLE SHIP FINANCE INTERNATIONAL L G81075106 890 000000032136 SH DEFINED 02 SOLE SINA CORP G81477104 245 000000005538 SH DEFINED 02 SOLE TSAKOS ENERGY NAVIGATION LTD G9108L108 940 000000025409 SH DEFINED 02 SOLE DRYSHIPS INC Y2109Q101 812 000000010491 SH DEFINED 02 SOLE SEASPAN CORP Y75638109 684 000000027937 SH DEFINED 02 SOLE ABERCROMBIE & FITCH CO 002896207 1,354 000000016934 SH DEFINED 02 SOLE ADVANCED MICRO DEVICES INC 007903107 652 000000086985 SH DEFINED 02 SOLE ALCOA INC 013817101 1,034 000000028317 SH DEFINED 02 SOLE ALTUS 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GROUP I 222814204 54 000000063499 SH DEFINED 01 SOLE CREE INC 225447101 879 000000032000 SH DEFINED 02 SOLE CROCS INC 227046109 3,290 000000089379 SH DEFINED 02 SOLE DANAHER CORP DEL 235851102 228 000000002607 SH DEFINED 02 SOLE DELL INC 24702R101 1,824 000000074420 SH DEFINED 02 SOLE DELTA AIR LINES INC DEL 247361702 581 000000039022 SH DEFINED 01 SOLE 1Page 2 08-02-14 11:03:49 0 FORM 13F INFORMATION TABLE QUARTER ENDING 12/31/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0DELTA AIR LINES INC DEL 247361702 2,979 000000200124 SH DEFINED 01 SOLE ECHELON CORP 27874N105 237 000000011498 SH DEFINED 02 SOLE ENERGY CONVERSION DEVICES IN 292659109 849 000000025246 SH DEFINED 02 SOLE NERNOC INC 292764107 790 000000016095 SH DEFINED 02 SOLE EVERGREEN SOLAR INC 30033R108 961 000000055690 SH DEFINED 02 SOLE FTI CONSULTING INC 302941109 736 000000011950 SH DEFINED 01 SOLE FLUOR CORP NEW 343412102 1,246 000000008556 SH DEFINED 02 SOLE FUELCELL ENERGY INC 35952H106 773 000000078012 SH DEFINED 02 SOLE GAP INC DEL 364760108 714 000000033592 SH DEFINED 02 SOLE GENERAL ELECTRIC CO 369604103 1,847 000000049831 SH DEFINED 02 SOLE GENERAL MTRS CORP 370442105 958 000000038494 SH DEFINED 02 SOLE LOBAL CASH ACCESS HLDGS INC 378967103 72 000000012000 SH DEFINED 01 SOLE GMARKET INC 38012G100 271 000000010900 SH DEFINED 02 SOLE GOODYEAR TIRE & RUBR CO 382550101 1,622 000000057500 SH DEFINED 01 SOLE GRACE W R & CO DEL NEW 38388F108 1,014 000000038746 SH DEFINED 01 SOLE GROUP 1 AUTOMOTIVE INC 398905109 336 000000014150 SH DEFINED 01 SOLE HARRAHS ENTMT INC 413619107 3,629 000000040900 SH DEFINED 01 SOLE HARRAHS ENTMT INC 413619107 3,629 000000040900 SH DEFINED 01 SOLE HAYES LEMMERZ INTL INC 420781304 1,133 000000248000 SH DEFINED 01 SOLE HOME DEPOT INC 437076102 2,171 000000080609 SH DEFINED 02 SOLE HONEYWELL INTL INC 438516106 857 000000013934 SH DEFINED 02 SOLE HORNBECK OFFSHORE SVCS INC N 440543106 1,081 000000024050 SH DEFINED 01 SOLE HUNTSMAN CORP 447011107 249 000000009700 SH DEFINED 01 SOLE HUNTSMAN CORP 447011107 1,194 000000046479 SH DEFINED 01 SOLE HUNTSMAN CORP 447011107 249 000000009700 SH DEFINED 01 SOLE CO GLOBAL COMM HLDGS LTD DE 44930K108 81 000000025716 SH DEFINED 01 SOLE IDENIX PHARMACEUTICALS INC 45166R204 791 000000301476 SH DEFINED 02 SOLE NNOPHOS HOLDINGS INC 45774N108 729 000000049028 SH DEFINED 01 SOLE INTEL CORP 458140100 1,373 000000051511 SH DEFINED 02 SOLE INTERNATIONAL BUSINESS MACHS 459200101 1,522 000000014086 SH DEFINED 02 SOLE INTERNATIONAL RECTIFIER CORP 460254105 751 000000022132 SH DEFINED 02 SOLE SHARES COMEX GOLD TR 464285105 12,828 000000155586 SH DEFINED 02 SOLE ISHARES INC 464286400 2,621 000000032487 SH DEFINED 02 SOLE ISHARES TR 464287184 5,550 000000032000 SH DEFINED 02 SOLE ISHARES TR 464287234 15,326 000000101975 SH DEFINED 02 SOLE ISHARES TR 464287390 3,805 000000015289 SH DEFINED 02 SOLE ITRON INC 465741106 765 000000007979 SH DEFINED 02 SOLE JA SOLAR HOLDINGS CO LTD 466090107 275 000000011856 SH DEFINED 02 SOLE JP MORGAN CHASE & CO 46625H100 320 000000007343 SH DEFINED 02 SOLE JETBLUE AWYS CORP 477143101 306 000000051913 SH DEFINED 02 SOLE JOHNSON & JOHNSON 478160104 1,233 000000018495 SH DEFINED 02 SOLE KOHLS CORP 500255104 18,480 000000403502 SH DEFINED 02 SOLE LDK SOLAR CO LTD 50183L107 834 000000017760 SH DEFINED 02 SOLE LAS VEGAS SANDS CORP 517834107 5,049 000000049003 SH DEFINED 02 SOLE LEHMAN BROS HLDGS INC 524908100 2,743 000000041924 SH DEFINED 02 SOLE LILLY ELI & CO 532457108 1,063 000000019924 SH DEFINED 02 SOLE 1Page 3 08-02-14 11:03:49 0 FORM 13F INFORMATION TABLE QUARTER ENDING 12/31/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0LIMITED BRANDS INC 532716107 6,485 000000342596 SH DEFINED 02 SOLE MEMC ELECTR MATLS INC 552715104 823 000000009309 SH DEFINED 02 SOLE MTR GAMING GROUP INC 553769100 475 000000070015 SH DEFINED 01 SOLE MAGELLAN HEALTH SVCS INC 559079207 4,672 000000100202 SH DEFINED 01 SOLE MCDONALDS CORP 580135101 348 000000005919 SH DEFINED 02 SOLE EDCATH CORP 58404W109 762 000000031050 SH DEFINED 01 SOLE MEDIS TECHNOLOGIES LTD 58500P107 238 000000015457 SH DEFINED 02 SOLE MERRILL LYNCH & CO INC 590188108 12,718 000000236932 SH DEFINED 02 SOLE MIRANT CORP NEW 60467R100 1,345 000000034530 SH DEFINED 01 SOLE MOODYS CORP 615369105 25,852 000000724151 SH DEFINED 02 SOLE MORGAN STANLEY 617446448 1,017 000000019162 SH DEFINED 02 SOLE MOTOROLA INC 620076109 725 000000045243 SH DEFINED 02 SOLE MUELLER WTR PRODS INC 624758207 434 000000043552 SH DEFINED 01 SOLE NRG ENERGY INC 629377508 751 000000017350 SH DEFINED 01 SOLE NEWMONT MINING CORP 651639106 1,152 000000023595 SH DEFINED 02 SOLE NIKE INC 654106103 937 000000014600 SH DEFINED 02 SOLE NORFOLK SOUTHERN CORP 655844108 3,666 000000072686 SH DEFINED 02 SOLE NORTHWEST AIRLS CORP 667280408 8,423 000000580531 SH DEFINED 01 SOLE NUCOR CORP 670346105 9,623 000000162506 SH DEFINED 02 SOLE OMNITURE INC 68212S109 231 000000006950 SH DEFINED 02 SOLE ORACLE CORP 68389X105 1,113 000000049335 SH DEFINED 02 SOLE ORMAT TECHNOLOGIES INC 686688102 628 000000011429 SH DEFINED 02 SOLE OVERSEAS SHIPHOLDING GROUP I 690368105 1,031 000000013859 SH DEFINED 02 SOLE OWENS CORNING NEW 690742101 3,854 000000190636 SH DEFINED 01 SOLE PACIFIC ETHANOL INC 69423U107 236 000000028844 SH DEFINED 02 SOLE PANTRY INC 698657103 373 000000014300 SH DEFINED 01 SOLE PEPSICO INC 713448108 588 000000007749 SH DEFINED 02 SOLE PFIZER INC 717081103 1,261 000000055502 SH DEFINED 02 SOLE PLUG POWER INC 72919P103 219 000000055684 SH DEFINED 02 SOLE POWER INTEGRATIONS INC 739276103 798 000000023191 SH DEFINED 02 SOLE RCN CORP 749361200 1,031 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396 000000044550 SH DEFINED 01 SOLE VIRGIN MOBILE USA INC 92769R108 396 000000044550 SH DEFINED 01 SOLE WAL MART STORES INC 931142103 1,388 000000029221 SH DEFINED 02 SOLE WINN DIXIE STORES INC 974280307 1,134 000000067241 SH DEFINED 01 SOLE WYNN RESORTS LTD 983134107 335 000000002995 SH DEFINED 02 SOLE YINGLI GREEN ENERGY HLDG CO 98584B103 844 000000021817 SH DEFINED 02 SOLE ZOLTEK COS INC 98975W104 1,192 000000027828 SH DEFINED 02 SOLE
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