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 2018

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:

EXHIBITS

 

Exhibit Number
1.    Capitalization and Indebtedness as of March  31, 2018 and Ratio of Earnings to Fixed Charges and Computation Thereof for the Five Fiscal Years Ended March 31, 2018

The registrant hereby incorporates Exhibit 1 to this report on Form 6-K by reference in the prospectus that is part of the Registration Statement on Form F-3 (Registration No. 333-209596) of the registrant, filed with the SEC on February 19, 2016.

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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 25, 2018   By:  

/s/ Hajime Ikeda

   

Hajime Ikeda

    Senior Managing Director

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CAPITALIZATION AND INDEBTEDNESS

The following table sets forth, on a U. S. GAAP basis, the consolidated capitalization and indebtedness of Nomura Holdings, Inc. (“Nomura”) as of March 31, 2018. There has been no material change in Nomura’s capitalization and indebtedness since March 31, 2018.

 

     Millions of yen  
     As of
March 31, 2018		  

Short-term borrowings

    ¥ 743,497  

Long-term borrowings

      7,382,507  

NHI shareholders’ equity:

   

Common stock

   

Authorized—6,000,000,000 shares as of March 31, 2018

   

Issued—3,643,562,601 shares as of March 31, 2018

   

Outstanding—3,392,937,486 shares as of March 31, 2018

      594,493  

Additional paid-in capital

      675,280  

Retained earnings

      1,696,890  

Accumulated other comprehensive income (loss)

      (59,356 ) 
  

 

 

  

Total NHI shareholders’ equity before treasury stock

      2,907,307  

Common stock held in treasury, at cost—250,625,115 shares as of March 31, 2018

      (157,987 ) 
  

 

 

  

Total NHI shareholders’ equity

      2,749,320  

Noncontrolling interests

      50,504  
  

 

 

  

Total equity

      2,799,824  
  

 

 

  

Total capitalization and indebtedness

    ¥ 10,925,828  
  

 

 

  

 

Nomura enters 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 was ¥5,189 million as of March 31, 2018.

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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 of Nomura for the five years ended March 31, 2018, in accordance with U.S. GAAP.

 

     Millions of yen  
     Fiscal year ended March 31  
     2014      2015      2016      2017      2018  

Earnings:

               

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

    ¥ 323,808      ¥ 303,730      ¥ 131,241      ¥ 289,795      ¥ 293,642  

Add: Fixed charges

      274,774        326,412        327,415        312,320        475,189  

Distributed income of equity investees

      8,306        8,256        11,031        11,941        13,290  
  

 

 

     

 

 

     

 

 

     

 

 

     

 

 

  

Earnings as defined

    ¥ 606,888      ¥ 638,398      ¥ 469,687      ¥ 614,056      ¥ 782,121  
  

 

 

     

 

 

     

 

 

     

 

 

     

 

 

  

Fixed charges

    ¥ 274,774      ¥ 326,412      ¥ 327,415      ¥ 312,320      ¥ 475,189  

Ratio of earnings to fixed charges(1)

     2.2        2.0        1.4        2.0        1.6  

 

(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.