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Nomura Finalizes Details of Disposition of Treasury Shares as Stock Award
May 7, 2021
Nomura Holdings, Inc.
Tokyo, May 7, 2021 - Nomura Holdings, Inc. (the "Company") today announced that the number of shares disposed and the number of allottees, etc., of Restricted Stock Unit (RSU) No.3, Restricted Stock Unit (RSU) No.9 and Restricted Stock Unit (RSU) No.15 have been finalized, which relate to the disposition of treasury stock determined by its Executive Management Board held on May 14, 2018 (the "2018 Decision"), announced in its news release "Nomura Determines to Make Disposition of Treasury Shares as Stock Award and Submits Shelf Registration Statement" dated May 14, 2018, Executive Management Board held on May 16, 2019 (the "2019 Decision"), announced in its news release "Nomura Determines to Make Disposition of Treasury Shares as Stock Award" dated May 16, 2019 and Executive Management Board held on May 27, 2020 (the "2020 Decision"), announced in its news release "Nomura Determines to Make Disposition of Treasury Shares as Stock Award" dated May 27, 2020 as outlined below.
| RSU No.3 | ||
|---|---|---|
| 1. | Disposition Date of Treasury Shares | May 6, 2021 |
| 2. | Class and Number of Shares Disposed | 8,896,638 shares of common stock of the Company |
| 3. | Disposition Price | 611.4 yen per share |
| 4. | Total Amount of Disposition Price | 5,439,404,474 yen |
| 5. | Assets Contributed and Description and Value of Such Assets | Assets Contributed: assets other than cash (contribution-in-kind) Description of Assets: monetary compensation claims granted by the Company pursuant to the 2018 Decision Value of Assets to be Contributed: 5,439,404,474 yen (price per share is equivalent to the disposition price) |
| 6. | Method of Disposition | Allotted as a stock award to the allottees listed in 8 below |
| 7. | Method of Performance of Contribution | Through a contribution in-kind of monetary compensation claims |
| 8. | Allottees and Number of Shares Allotted | 8 Directors and Executive Officers of the Company (Excluding Outside Directors) 86,097 shares 28 Employees, etc. of the Company 559,338 shares 1,765 Directors, Executive Officers, and employees, etc., of the Company's subsidiaries 8,251,203 shares |
| RSU No.9 | ||
|---|---|---|
| 1. | Disposition Date of Treasury Shares | May 6, 2021 |
| 2. | Class and Number of Shares Disposed | 6,037,966 shares of common stock of the Company |
| 3. | Disposition Price | 371 yen per share |
| 4. | Total Amount of Disposition Price | 2,240,085,386 yen |
| 5. | Assets Contributed and Description and Value of Such Assets | Assets Contributed: assets other than cash (contribution-in-kind) Description of Assets: monetary compensation claims granted by the Company pursuant to the 2019 Decision Value of Assets to be Contributed: 2,240,085,386 yen (price per share is equivalent to the disposition price) |
| 6. | Method of Disposition | Allotted as a stock award to the allottees listed in 8 below |
| 7. | Method of Performance of Contribution | Through a contribution in-kind of monetary compensation claims |
| 8. | Allottees and Number of Shares Allotted | 5 Directors and Executive Officers of the Company (Excluding Outside Directors) 31,063 shares 9 Employees, etc. of the Company 63,654 shares 1,240 Directors, Executive Officers, and employees, etc., of the Company's subsidiaries 5,943,249 shares |
| RSU No.15 | ||
|---|---|---|
| 1. | Disposition Date of Treasury Shares | May 6, 2021 |
| 2. | Class and Number of Shares Disposed | 15,038,188 shares of common stock of the Company |
| 3. | Disposition Price | 436 yen per share |
| 4. | Total Amount of Disposition Price | 6,556,649,968 yen |
| 5. | Assets Contributed and Description and Value of Such Assets | Assets Contributed: assets other than cash (contribution-in-kind) Description of Assets: monetary compensation claims granted by the Company pursuant to the 2020 Decision Value of Assets to be Contributed: 6,556,649,968 yen (price per share is equivalent to the disposition price) |
| 6. | Method of Disposition | Allotted as a stock award to the allottees listed in 8 below |
| 7. | Method of Performance of Contribution | Through a contribution in-kind of monetary compensation claims |
| 8. | Allottees and Number of Shares Allotted | 4 Directors and Executive Officers of the Company (Excluding Outside Directors) 64,490 shares 28 Employees, etc. of the Company 910,040 shares 1,727 Directors, Executive Officers, and employees, etc., of the Company's subsidiaries 14,063,658 shares |
Nomura
Nomura is a global financial services group with an integrated network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.
