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 2016
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):
Information furnished on this form:
| Exhibit Number | ||
| 1. | Capitalization and Indebtedness as of March 31, 2016 and Ratio of Earnings to Fixed Charges and Computation Thereof for the Five Fiscal Years Ended March 31, 2016 | |
The registrant hereby incorporates Exhibits 1 to this report on Form 6-K by reference (i) in the prospectus that is part of the Registration Statement on Form F-3 (Registration No. 333-191250) of the registrant and Nomura America Finance, LLC, filed with the Securities and Exchange Commission (“SEC”) on September 19, 2013 and (ii) 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.
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 23, 2016 | By: | /s/ Hajime Ikeda | ||
| Hajime Ikeda | ||||
| Senior Managing Director | ||||
CAPITALIZATION AND INDEBTEDNESS
The following table sets forth, on a U.S. GAAP basis, the consolidated capitalization and indebtedness of Nomura as of March 31, 2016. There has been no material change in Nomura’s capitalization and indebtedness since March 31, 2016.
| Millions of yen | ||||
| As of March 31, 2016 |
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| Short-term borrowings |
¥ | 662,902 | ||
| Long-term borrowings |
8,129,559 | |||
| NHI shareholders’ equity: |
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| Common stock |
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| Authorized—6,000,000,000 shares as of March 31, 2016 |
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| Issued—3,822,562,601 shares as of March 31, 2016 |
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| Outstanding—3,608,391,999 shares as of March 31, 2016 |
594,493 | |||
| Additional paid-in capital |
692,706 | |||
| Retained earnings |
1,516,577 | |||
| Accumulated other comprehensive income (loss) |
44,980 | |||
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| Total NHI shareholders’ equity before treasury stock |
2,848,756 | |||
| Common stock held in treasury, at cost—214,170,602 shares as of March 31, 2016 |
(148,517 | ) | ||
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| Total NHI shareholders’ equity |
2,700,239 | |||
| Noncontrolling interests |
42,776 | |||
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| Total equity |
2,743,015 | |||
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| Total capitalization and indebtedness |
¥ | 11,535,476 | ||
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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 ¥8,422 million as of March 31, 2016.
RATIO OF EARNINGS TO FIXED CHARGES AND COMPUTATION THEREOF
The following table sets forth the ratio of earnings to fixed charges and the amount of fixed charge deficiency of the Nomura for the five fiscal years ended March 31, 2016, in accordance with U.S. GAAP.
| Millions of yen | ||||||||||||||||||||
| Fiscal year ended March 31 | ||||||||||||||||||||
| 2012 | 2013 | 2014 | 2015 | 2016 | ||||||||||||||||
| Earnings: |
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| Pre-tax income (loss) before adjustment for income or loss from equity investees |
¥ | 79,242 | ¥ | 219,133 | ¥ | 323,808 | ¥ | 303,730 | ¥ | 131,241 | ||||||||||
| Add: Fixed charges |
315,901 | 266,313 | 274,774 | 326,412 | 327,415 | |||||||||||||||
| Distributed income of equity investees |
4,508 | 5,568 | 8,306 | 8,256 | 11,031 | |||||||||||||||
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| Earnings as defined |
¥ | 399,651 | ¥ | 491,014 | ¥ | 606,888 | ¥ | 638,398 | ¥ | 469,687 | ||||||||||
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| Fixed charges |
¥ | 315,901 | ¥ | 266,313 | ¥ | 274,774 | ¥ | 326,412 | ¥ | 327,415 | ||||||||||
| Ratio of earnings to fixed charges(1) |
1.3 | 1.8 | 2.2 | 2.0 | 1.4 | |||||||||||||||
| (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. |