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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended June 30, 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.
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Name of Institutional Investment Manager
1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8011, Japan
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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 July 28, 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
------------------------------ ---------- --------- ---------- ------------ --- ---- ------- -------- ----------------
0ENERGY XXI (BERMUDA) LTD G10082108 7 000000014700 SH DEFINED 01 SOLE
TRANSOCEAN LTD H8817H100 373 000000005026 SH DEFINED 01 SOLE
TYCO INTERNATIONAL LTD H89128104 306 000000011796 SH DEFINED 01 SOLE
MILLICOM INTL CELLULAR S A L6388F110 208 000000003700 SH DEFINED 01 SOLE
AARONS INC 002535201 313 000000010500 SH DEFINED 01 SOLE
ADVANTA CORP 007942204 7 000000018850 SH DEFINED 01 SOLE
AIRTRAN HLDGS INC 00949P108 167 000000027100 SH DEFINED 01 SOLE
ALLEGHENY TECHNOLOGIES INC 01741R102 228 000000006668 SH DEFINED 02 SOLE
ALLIS CHALMERS ENERGY INC 019645506 44 000000019400 SH DEFINED 01 SOLE
AMCORE FINL INC 023912108 10 000000013183 SH DEFINED 01 SOLE
AMERIGROUP CORP 03073T102 295 000000011000 SH DEFINED 01 SOLE
AMKOR TECHNOLOGY INC 031652100 115 000000024400 SH DEFINED 01 SOLE
ANCHOR BANCORP WIS INC 032839102 15 000000012100 SH DEFINED 01 SOLE
ANTHRACITE CAP INC 037023108 16 000000027000 SH DEFINED 01 SOLE
APPLIED MICRO CIRCUITS CORP 03822W406 96 000000011900 SH DEFINED 01 SOLE
ARENA PHARMACEUTICALS INC 040047102 54 000000011000 SH DEFINED 01 SOLE
ARLINGTON ASSET INVT CORP 041356106 26 000000069100 SH DEFINED 01 SOLE
ARMSTRONG WORLD INDS INC NEW 04247X102 399 000000024205 SH DEFINED 01 SOLE
ARRIS GROUP INC 04269Q100 237 000000019500 SH DEFINED 01 SOLE
AXCELIS TECHNOLOGIES INC 054540109 18 000000041000 SH DEFINED 01 SOLE
BANK OF AMERICA CORPORATION 060505104 270 000000020500 SH DEFINED 01 SOLE
BANK NOVA SCOTIA HALIFAX 064149107 292 000000007805 SH DEFINED 01 SOLE
BARRICK GOLD CORP 067901108 230 000000006867 SH DEFINED 01 SOLE
BLOCKBUSTER INC 093679108 49 000000074600 SH DEFINED 01 SOLE
CANADIAN NAT RES LTD 136385101 223 000000004257 SH DEFINED 01 SOLE
CARDINAL HEALTH INC 14149Y108 647 000000021200 SH DEFINED 01 SOLE
CARTER INC 146229109 300 000000012200 SH DEFINED 01 SOLE
CASCADE BANCORP 147154108 16 000000012000 SH DEFINED 01 SOLE
CHEVRON CORP NEW 166764100 316 000000004822 SH DEFINED 02 SOLE
CHICOS FAS INC 168615102 345 000000035500 SH DEFINED 01 SOLE
CINCINNATI BELL INC NEW 171871106 39 000000013900 SH DEFINED 01 SOLE
ITY BK LYNNWOOD WASH 17770A109 34 000000014500 SH DEFINED 01 SOLE
COMCAST CORP NEW 20030N200 147 000000010443 SH DEFINED 01 SOLE
COOPER TIRE & RUBR CO 216831107 120 000000012100 SH DEFINED 01 SOLE
CORE MARK HOLDING CO INC 218681104 819 000000031455 SH DEFINED 01 SOLE
CUMMINS INC 231021106 213 000000006124 SH DEFINED 02 SOLE
DANA HOLDING CORP 235825205 845 000000661355 SH DEFINED 01 SOLE
DEERE & CO 244199105 3,995 000000100000 SH DEFINED 01 SOLE
DELTA AIR LINES INC DEL 247361702 8,189 000001414535 SH DEFINED 01 SOLE
ENCANA CORP 292505104 776 000000015701 SH DEFINED 01 SOLE
EXXON MOBIL CORP 30231G102 1,454 000000020811 SH DEFINED 01 SOLE
FTI CONSULTING INC 302941109 451 000000008900 SH DEFINED 01 SOLE
FAIRPOINT COMMUNICATIONS INC 305560104 15 000000026524 SH DEFINED 01 SOLE
FEDERAL MOGUL CORP 313549404 809 000000085616 SH DEFINED 01 SOLE
FIFTH THIRD BANCORP 316773100 153 000000021600 SH DEFINED 01 SOLE
FIRST PL FINL CORP 33610T109 32 000000010500 SH DEFINED 01 SOLE
FRONTIER FINL CORP WASH 35907K105 38 000000033000 SH DEFINED 01 SOLE
GOLDMAN SACHS GROUP INC 38141G104 5,012 000000034000 SH DEFINED 01 SOLE
GRACE W R & CO DEL NEW 38388F108 163 000000013221 SH DEFINED 01 SOLE
GROUP 1 AUTOMOTIVE INC 398905109 243 000000009350 SH DEFINED 01 SOLE
HANMI FINL CORP 410495105 35 000000020200 SH DEFINED 01 SOLE
HEALTHSOUTH CORP 421924309 248 000000017200 SH DEFINED 01 SOLE
HEWLETT PACKARD CO 428236103 204 000000005291 SH DEFINED 01 SOLE
HOME DEPOT INC 437076102 1,181 000000050000 SH DEFINED 01 SOLE
HORNBECK OFFSHORE SVCS INC N 440543106 243 000000011388 SH DEFINED 01 SOLE
HUTCHINSON TECHNOLOGY INC 448407106 48 000000024900 SH DEFINED 01 SOLE
ICO GLOBAL COMM HLDGS LTD DE 44930K108 7 000000011800 SH DEFINED 01 SOLE
IDENIX PHARMACEUTICALS INC 45166R204 1,171 000000301476 SH DEFINED 02 SOLE
IMPERIAL OIL LTD 453038408 537 000000013967 SH DEFINED 01 SOLE
INNOPHOS HOLDINGS INC 45774N108 205 000000012140 SH DEFINED 01 SOLE
INTERCONTINENTALEXCHANGE INC 45865V100 759 000000006650 SH DEFINED 01 SOLE
ISHARES INC 464286400 1,644 000000031050 SH DEFINED 01 SOLE
ISHARES INC 464286731 1,508 000000149500 SH DEFINED 01 SOLE
ISHARES TR 464287234 17,397 000000539800 SH DEFINED 01 SOLE
ISHARES TR 464287432 2,714 000000028700 SH DEFINED 01 SOLE
ISHARES TR 464287465 9,643 000000210500 SH DEFINED 01 SOLE
JPMORGAN CHASE & CO 46625H100 1,732 000000050806 SH DEFINED 01 SOLE
LEE ENTERPRISES INC 523768109 6 000000011600 SH DEFINED 01 SOLE
MACROVISION SOLUTIONS CORP 55611C108 383 000000017600 SH DEFINED 01 SOLE
MANNKIND CORP 56400P201 223 000000026900 SH DEFINED 01 SOLE
MATTSON TECHNOLOGY INC 577223100 50 000000043200 SH DEFINED 01 SOLE
MCG CAPITAL CORP 58047P107 60 000000024700 SH DEFINED 01 SOLE
MEDCO HEALTH SOLUTIONS INC 58405U102 346 000000007600 SH DEFINED 01 SOLE
MERIDIAN RESOURCE CORP 58977Q109 4 000000014200 SH DEFINED 01 SOLE
MIDWEST BANC HOLDINGS INC 598251106 8 000000011000 SH DEFINED 01 SOLE
NRG ENERGY INC 629377508 476 000000018350 SH DEFINED 01 SOLE
NYSE EURONEXT 629491101 1,427 000000052400 SH DEFINED 01 SOLE
NEKTAR THERAPEUTICS 640268108 95 000000014800 SH DEFINED 01 SOLE
ODYSSEY RE HLDGS CORP 67612W108 339 000000008500 SH DEFINED 01 SOLE
PACIFIC SUNWEAR CALIF INC 694873100 121 000000035800 SH DEFINED 01 SOLE
POTASH CORP SASK INC 73755L107 216 000000002323 SH DEFINED 01 SOLE
POWERSHARES QQQ TRUST 73935A104 2,564 000000070500 SH DEFINED 01 SOLE
PRUDENTIAL FINL INC 744320102 753 000000020250 SH DEFINED 01 SOLE
RAIT FINANCIAL TRUST 749227104 37 000000027600 SH DEFINED 01 SOLE
RF MICRODEVICES INC 749941100 434 000000115600 SH DEFINED 01 SOLE
RALCORP HLDGS INC NEW 751028101 536 000000008800 SH DEFINED 01 SOLE
REALTY INCOME CORP 756109104 394 000000018000 SH DEFINED 01 SOLE
RESEARCH IN MOTION LTD 760975102 287 000000004043 SH DEFINED 01 SOLE
RETAIL HOLDRS TR 76127U101 2,990 000000038600 SH DEFINED 01 SOLE
ROWAN COS INC 779382100 248 000000013103 SH DEFINED 02 SOLE
ROYAL BK CDA MONTREAL QUE 780087102 772 000000018910 SH DEFINED 01 SOLE
ROYAL GOLD INC 780287108 254 000000006100 SH DEFINED 01 SOLE
SPDR GOLD TRUST 78463V107 49,301 000000540707 SH DEFINED 01 SOLE
SPDR SERIES TRUST 78464A714 3,003 000000108400 SH DEFINED 01 SOLE
SANMINA SCI CORP 800907107 49 000000113400 SH DEFINED 01 SOLE
SCHLUMBERGER LTD 806857108 300 000000005635 SH DEFINED 02 SOLE
SCOTTS MIRACLE GRO CO 810186106 248 000000007090 SH DEFINED 01 SOLE
SEALY CORP 812139301 30 000000015600 SH DEFINED 01 SOLE
SEMICONDUCTOR HLDRS TR 816636203 626 000000029200 SH DEFINED 01 SOLE
SENIOR HSG PPTYS TR 81721M109 221 000000013600 SH DEFINED 01 SOLE
SKYWORKS SOLUTIONS INC 83088M102 132 000000013500 SH DEFINED 01 SOLE
SOLUTIA INC 834376501 1,103 000000191611 SH DEFINED 01 SOLE
STERLITE INDS INDIA LTD 859737207 2,080 000000166995 SH DEFINED 02 SOLE
STIFEL FINL CORP 860630102 201 000000004200 SH DEFINED 01 SOLE
STRATEGIC HOTELS & RESORTS I 86272T106 59 000000053500 SH DEFINED 01 SOLE
SUNCOR ENERGY INC 867229106 226 000000007468 SH DEFINED 01 SOLE
SUNSTONE HOTEL INVS INC NEW 867892101 156 000000029200 SH DEFINED 01 SOLE
TALBOTS INC 874161102 160 000000029700 SH DEFINED 01 SOLE
TARGACEPT INC 87611R306 2,850 000001163288 SH DEFINED 02 SOLE
TEXAS INSTRS INC 882508104 958 000000045000 SH DEFINED 01 SOLE
THOMAS PPTYS GROUP INC 884453101 16 000000010600 SH DEFINED 01 SOLE
3COM CORP 885535104 498 000000105400 SH DEFINED 01 SOLE
TORONTO DOMINION BK ONT 891160509 350 000000006778 SH DEFINED 01 SOLE
TRIQUINT SEMICONDUCTOR INC 89674K103 76 000000014500 SH DEFINED 01 SOLE
TYSON FOODS INC 902494103 243 000000019500 SH DEFINED 02 SOLE
UCBH HOLDINGS INC 90262T308 22 000000018100 SH DEFINED 01 SOLE
VALEANT PHARMACEUTICALS INTL 91911X104 241 000000009400 SH DEFINED 01 SOLE
WALTER INVT MGMT CORP 93317W102 361 000000027200 SH DEFINED 01 SOLE
WORLD FUEL SVCS CORP 981475106 243 000000005900 SH DEFINED 01 SOLE
WORTHINGTON INDS INC 981811102 149 000000011700 SH DEFINED 01 SOLE
XEROX CORP 984121103 528 000000081505 SH DEFINED 01 SOLE
ZORAN CORP 98975F101 80 000000007400 SH DEFINED 01 SOLE