-----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, CyXOD+ZB7wbKDt0OrcJxxUq6nFfNhAUMqnWSIlHZoS925TMec6U88YI7OmvzpRuA EMJ+k5V2WOzzTwwN8QuOkA== 0000902266-09-000011.txt : 20090511 0000902266-09-000011.hdr.sgml : 20090511 20090511144157 ACCESSION NUMBER: 0000902266-09-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090511 DATE AS OF CHANGE: 20090511 EFFECTIVENESS DATE: 20090511 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: 09814226 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 QUARTER 2009 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, 2009 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: Brendan G. Daly Head of Compliance and Surveillance 212-667-1246 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Brendan G. Daly ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) New York, NY May 11, 2009 ------------------------------------------ (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: 32 Form 13F Information Table Value Total: $29,438 (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 3/31/2009 NAME OF ISSUER TITLE CUSIP VALUE SHARES SH PUT INVSTMT OTHER VOTING AUTHORITY OF CLASS X1000 PRN AMT PRN CALL DSCRETN MANAGERS ------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ---------------- 0AIRMEDIA GROUP INC 009411109 1,139 000000271900 SH DEFINED 02 SOLE ALLIS CHALMERS ENERGY INC 019645506 37 000000019400 SH DEFINED 01 SOLE ARMSTRONG WORLD INDS INC NEW 04247X102 436 000000039637 SH DEFINED 01 SOLE BAIDU INC 056752108 1,543 000000008920 SH DEFINED 01 SOLE COMCAST CORP NEW 20030N200 134 000000010443 SH DEFINED 01 SOLE ORE MARK HOLDING CO INC 218681104 1,061 000000058235 SH DEFINED 01 SOLE DANA HOLDING CORP 235825205 378 000000820656 SH DEFINED 01 SOLE DELTA AIR LINES INC DEL 247361702 382 000000067861 SH DEFINED 01 SOLE DONNELLEY R R & SONS CO 257867101 164 000000022400 SH DEFINED 01 SOLE FTI CONSULTING INC 302941109 440 000000008900 SH DEFINED 01 SOLE EDERAL MOGUL CORP 313549404 2,225 000000333160 SH DEFINED 01 SOLE GRACE W R & CO DEL NEW 38388F108 83 000000013221 SH DEFINED 01 SOLE HORNBECK OFFSHORE SVCS INC N 440543106 173 000000011388 SH DEFINED 01 SOLE HUNTSMAN CORP 447011107 165 000000052990 SH DEFINED 01 SOLE IDENIX PHARMACEUTICALS INC 45166R204 928 000000301476 SH DEFINED 02 SOLE INNOPHOS HOLDINGS INC 45774N108 264 000000023409 SH DEFINED 01 SOLE ISHARES TR 464288513 515 000000007600 SH DEFINED 01 SOLE JPMORGAN CHASE & CO 46625H100 265 000000010000 SH DEFINED 01 SOLE EDCATH CORP 58404W109 131 000000018047 SH DEFINED 01 SOLE NRG ENERGY INC 629377508 322 000000018350 SH DEFINED 01 SOLE NYSE EURONEXT 629491101 899 000000052400 SH DEFINED 01 SOLE OWENS CORNING NEW 690742101 437 000000048390 SH DEFINED 01 SOLE PRUDENTIAL PLC 74435K204 11,396 000001296517 SH DEFINED 01 SOLE SCOTTS MIRACLE GRO CO 810186106 246 000000007090 SH DEFINED 01 SOLE SELECT SECTOR SPDR TR 81369Y308 321 000000015252 SH DEFINED 02 SOLE SOLUTIA INC 834376501 477 000000255491 SH DEFINED 01 SOLE SUPERIOR INDS INTL INC 868168105 195 000000016500 SH DEFINED 01 SOLE TAIWAN SEMICONDUCTOR MFG LTD 874039100 969 000000109000 SH DEFINED 01 SOLE ARGACEPT INC 87611R306 3,190 000001190476 SH DEFINED 02 SOLE TYSON FOODS INC 902494103 176 000000018813 SH DEFINED 02 SOLE VIRGIN MEDIA INC 92769L101 146 000000030556 SH DEFINED 01 SOLE WINN DIXIE STORES INC 974280307 187 000000019660 SH DEFINED 01 SOLE
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