-----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, AOjUhj6OabJ9Lm6wTZmRhagtrnLHJpdzIR8n8Z68G7I8ve90Q0Rl63ynHhtxVnl6 dke5KR4tMPby4PDJ7g94MQ== 0000902266-07-000010.txt : 20070514 0000902266-07-000010.hdr.sgml : 20070514 20070514134446 ACCESSION NUMBER: 0000902266-07-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070331 FILED AS OF DATE: 20070514 DATE AS OF CHANGE: 20070514 EFFECTIVENESS DATE: 20070514 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: 07845356 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 NHI 13F 1ST QTR 2007 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 March 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 May 14, 2007 ------------------------------------------ (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: 642 Form 13F Information Table Value Total: $11,593,118 (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 06-01-31 16:19:43 FORM 13F INFORMATION TABLE QUARTER ENDING 03/30/2007 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0ACE LTD G0070K103 9,881 000000173179 SH DEFINED 01 SOLE COOPER INDS LTD G24182100 4,351 000000096729 SH DEFINED 01 SOLE HERBALIFE LTD G4412G101 1,763 000000045000 SH DEFINED 01 SOLE INGERSOLL-RAND COMPANY LTD G4776G101 7,075 000000163150 SH DEFINED 01 SOLE NABORS INDUSTRIES LTD G6359F103 4,486 000000151208 SH DEFINED 01 SOLE NOBLE CORPORATION G65422100 5,611 000000071319 SH DEFINED 01 SOLE PXRE GROUP LTD G73018106 1,259 000000262320 SH DEFINED 01 SOLE SINA CORP G81477104 563 000000016773 SH DEFINED 02 SOLE TRANSOCEAN INC G90078109 12,686 000000155286 SH DEFINED 01 SOLE WEATHERFORD INTERNATIONAL LT G95089101 8,083 000000179241 SH DEFINED 01 SOLE XL CAP LTD G98255105 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191219104 2,987 000000147520 SH DEFINED 01 SOLE COGNIZANT TECHNOLOGY SOLUTIO 192446102 6,675 000000075626 SH DEFINED 01 SOLE COLGATE PALMOLIVE CO 194162103 18,175 000000272133 SH DEFINED 01 SOLE COLGATE PALMOLIVE CO 194162103 602 000000009020 SH DEFINED 02 SOLE COMCAST CORP NEW 20030N101 42,779 000001648518 SH DEFINED 01 SOLE COMCAST CORP NEW 20030N200 984 000000038650 SH DEFINED 01 SOLE COMERICA INC 200340107 4,942 000000083602 SH DEFINED 01 SOLE COMMERCE BANCORP INC NJ 200519106 3,318 000000099404 SH DEFINED 01 SOLE COMPASS BANCSHARES INC 20449H109 5,440 000000079083 SH DEFINED 01 SOLE COMPUTER SCIENCES CORP 205363104 4,787 000000091840 SH DEFINED 01 SOLE COMPUWARE CORP 205638109 1,630 000000171864 SH DEFINED 01 SOLE CONAGRA FOODS INC 205887102 6,848 000000274944 SH DEFINED 01 SOLE CONOCOPHILLIPS 20825C104 59,858 000000875764 SH DEFINED 01 SOLE CONSECO INC 208464883 1,156 000000066822 SH DEFINED 01 SOLE CONSOL ENERGY INC 20854P109 3,785 000000096746 SH DEFINED 01 SOLE CONSOLIDATED 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