Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]

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 January 2024

NOMURA HOLDINGS, INC.

(Translation of registrant’s name into English)

13-1, 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


Exhibit Number

1.		Financial Summary – Nine months ended December 31, 2023.

The registrant hereby incorporates Exhibit 1 to this report on Form 6-K by reference in the prospectus that is part of Registration Statement on Form F-3 (Registration No. 333-273353) of the registrant and Nomura America Finance, LLC, filed with the Securities and Exchange Commission on July 20, 2023.

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: January 31, 2024	By:	/s/ Yoshifumi Kishida
		Yoshifumi Kishida
		Senior Managing Director

Financial Summary For the Nine Months Ended December 31, 2023 (U.S. GAAP)


Date:		January 31, 2024
Company name (code number):		Nomura Holdings, Inc. (8604)
Stock exchange listings:		(In Japan) Tokyo, Nagoya (Overseas) New York, Singapore
Representative:		Kentaro Okuda President and Group CEO, Nomura Holdings, Inc.
For inquiries:		Junko Tago Managing Director, Head of Investor Relations, Nomura Holdings, Inc. Tel: (Country Code 81) 3-5255-1000 URL: https://www.nomura.com

1. Consolidated Operating Results

(1) Operating Results


	(Rounded to nearest million)
	(Millions of yen, except per share data)
	For the nine months ended December 31
	2022						2023

				% Change from December 31, 2021						% Change from December 31, 2022
Total revenue		1,716,061			44.4	%		2,986,540			74.0	%
Net revenue		1,010,644			(1.2	%)		1,116,898			10.5	%
Income before income taxes		126,783			(28.4	%)		181,756			43.4	%
Net income attributable to Nomura Holdings, Inc. (“NHI”) shareholders		85,411			(23.8	%)		109,113			27.8	%
Comprehensive income		246,052			41.0	%		166,527			(32.3	%)
Basic-Net income attributable to NHI shareholders per share (Yen)		28.40						36.08
Diluted-Net income attributable to NHI shareholders per share (Yen)		27.44						34.69
Return on shareholders’ equity - annualized		3.8	%					4.5	%

Note: Return on shareholders’ equity is a ratio of Net income attributable to NHI shareholders to Total NHI shareholders’ equity.

(2) Financial Position


	(Millions of yen, except per share data)
	At March 31			At December 31
	2023			2023

Total assets		47,771,802			54,752,735
Total equity		3,224,142			3,360,649
Total NHI shareholders’ equity		3,148,567			3,279,524
Total NHI shareholders’ equity as a percentage of total assets		6.6	%		6.0	%
Total NHI shareholders’ equity per share (Yen)		1,048.24			1,087.95

2. Cash Dividends


					(Yen amounts)
	For the year ended March 31
	2023		2024		2024 (Plan)
Dividends per share
Dividends record dates
At June 30		—		—		—
At September 30		5.00		8.00		—
At December 31		—		—		—
At March 31		12.00		—		Unconfirmed
For the year		17.00		—		Unconfirmed

Note: Fiscal year 2024 Q4 dividend is not presented per reasons stated in “3. Earnings Forecasts for the year ending March 31, 2024”.

3. Earnings Forecasts for the year ending March 31, 2024

Nomura provides investment, financing and related services in the capital markets on a global basis. In the global capital markets there exist uncertainties due to, but not limited to, economic and market conditions. Nomura, therefore, does not present earnings forecasts.

Notes

(1) Changes in significant subsidiaries during the period: None

(Changes in Specified Subsidiaries accompanying changes in scope of consolidation.)

(2) Adoption of the simplified and particular accounting treatments: None

(3) Changes in accounting policies

a) Changes in accounting policies due to amendments to the accounting standards: None

b) Changes in accounting policies due to other than a): None

(4) Number of shares issued (common stock)


	At March 31		At December 31
	2023		2023
Number of shares outstanding (including treasury stock)		3,233,562,601		3,163,562,601
Number of treasury stock		229,883,277		149,144,457

	For the nine months ended December 31
	2022		2023
Average number of shares outstanding (year-to-date)		3,007,925,168		3,023,923,222

*This financial summary is not subject to certified public accountant’s or audit firm’s quarterly review.

Table of Contents for the Accompanying Materials


1. Qualitative Information of the Quarterly Consolidated Results			P. 2

(1) Consolidated Operating Results			P. 2
(2) Consolidated Financial Position			P. 4
(3) Consolidated Earnings Forecasts			P. 4

2. Quarterly Consolidated Financial Statements			P. 5

(1) Consolidated Balance Sheets			P. 6
(2) Consolidated Statements of Income			P. 8
(3) Consolidated Statements of Comprehensive Income			P. 9
(4) Note with respect to the Assumption as a Going Concern			P. 9
(5) Segment Information – Operating Segment			P.10
(6) Significant Changes in Equity			P.11

3. Supplementary Information			P.12

(1) Consolidated Statements of Income – Quarterly Comparatives			P.12
(2) Business Segment Information – Quarterly Comparatives			P.13
(3) Other			P.14

– 1 –

1.	Qualitative Information of the Quarterly Consolidated Results

(1)

Consolidated Operating Results

U.S. GAAP


	Billions of yen						% Change
	For the nine months ended						(B-A)/(A)
	December 31, 2022 (A)			December 31, 2023 (B)			(B-A)/(A)
Net revenue		1,010.6			1,116.9			10.5
Non-interest expenses		883.9			935.1			5.8

Income (loss) before income taxes		126.8			181.8			43.4
Income tax expense		43.7			68.2			55.9

Net income (loss)		83.1			113.6			36.8

Less: Net income (loss) attributable to noncontrolling interests		(2.3	)		4.5			—

Net income (loss) attributable to NHI shareholders		85.4			109.1			27.8

Return on shareholders’ equity - annualized		3.8	%		4.5	%		—

Note: Return on shareholders’ equity is a ratio of Net income (loss) attributable to NHI shareholders to Total NHI shareholders’ equity.

Nomura Holdings, Inc. and its consolidated entities (collectively, “Nomura”) reported net revenue of 1,116.9 billion yen for the nine months ended December 31, 2023, an increase of 10.5% from the same period in the prior year. Non-interest expenses increased by 5.8% from the same period in the prior year to 935.1 billion yen. Income before income taxes was 181.8 billion yen and net income attributable to NHI shareholders was 109.1 billion yen for the nine months ended December 31, 2023.

Segment Information


	Billions of yen				% Change
	For the nine months ended				(B-A)/(A)
	December 31, 2022 (A)		December 31, 2023 (B)		(B-A)/(A)
Net revenue		1,036.0		1,131.5		9.2
Non-interest expenses		883.9		935.1		5.8

Income (loss) before income taxes		152.1		196.3		29.0

In the above segment information totals, which exclude a part of unrealized gain (loss) on investments in equity securities held for operating purposes, net revenue for the nine months ended December 31, 2023 was 1,131.5 billion yen, an increase of 9.2% from the same period in the prior year. Non-interest expenses increased by 5.8% from the same period in the prior year to 935.1 billion yen. Income before income taxes increased by 29.0% to 196.3 billion yen for the nine months ended December 31, 2023. Please refer to page 10 for further details of the differences between U.S. GAAP and business segment amounts.

– 2 –

<Business Segment Results>

Operating Results of Retail


	Billions of yen				% Change
	For the nine months ended				(B-A)/(A)
	December 31, 2022 (A)		December 31, 2023 (B)		(B-A)/(A)
Net revenue		224.9		293.6		30.6
Non-interest expenses		201.2		209.7		4.2

Income (loss) before income taxes		23.7		83.9		254.6

Net revenue increased by 30.6% from the same period in the prior year to 293.6 billion yen. Non-interest expenses increased by 4.2% to 209.7 billion yen. As a result, income before income taxes increased by 254.6% to 83.9 billion yen.

Operating Results of Investment Management


	Billions of yen				% Change
	For the nine months ended				(B-A)/(A)
	December 31, 2022 (A)		December 31, 2023 (B)		(B-A)/(A)
Net revenue		90.7		110.6		21.9
Non-interest expenses		63.6		68.1		7.2

Income (loss) before income taxes		27.1		42.4		56.4

Net revenue increased by 21.9% from the same period in the prior year to 110.6 billion yen. Non-interest expenses increased by 7.2% to 68.1 billion yen. As a result, income before income taxes increased by 56.4% to 42.4 billion yen. Assets under management were 78.5 trillion yen as of December 31, 2023.

Operating Results of Wholesale


	Billions of yen				% Change
	For the nine months ended				(B-A)/(A)
	December 31, 2022 (A)		December 31, 2023 (B)		(B-A)/(A)
Net revenue		593.5		611.9		3.1
Non-interest expenses		549.9		578.6		5.2

Income (loss) before income taxes		43.6		33.3		(23.6	)

Net revenue increased by 3.1% from the same period in the prior year to 611.9 billion yen. Non-interest expenses increased by 5.2% to 578.6 billion yen. As a result, income before income taxes decreased by 23.6% to 33.3 billion yen.

– 3 –

Other Operating Results


	Billions of yen				% Change
	For the nine months ended				(B-A)/(A)
	December 31, 2022 (A)		December 31, 2023 (B)		(B-A)/(A)
Net revenue		126.9		115.3		(9.1	)
Non-interest expenses		69.1		78.7		13.9

Income (loss) before income taxes		57.7		36.6		(36.6	)

Net revenue was 115.3 billion yen. Income before income taxes was 36.6 billion yen.

(2) Consolidated Financial Position

Total assets as of December 31, 2023 were 54,752.7 billion yen, an increase of 6,980.9 billion yen compared to March 31, 2023, mainly due to an increase in Trading assets and Securities purchased under agreements to resell. Total liabilities as of December 31, 2023 were 51,392.1 billion yen, an increase of 6,844.4 billion yen compared to March 31, 2023, mainly due to an increase in Securities sold under agreements to repurchase. Total equity as of December 31, 2023 was 3,360.6 billion yen, an increase of 136.5 billion yen compared to March 31, 2023.

(3) Consolidated Earnings Forecasts

– 4 –

2.	Quarterly Consolidated Financial Statements

The quarterly consolidated financial information herein has been prepared in accordance with Nomura’s accounting policies which are disclosed in the notes to the consolidated financial statements of Nomura Holdings, Inc.’s Annual Securities Report (the annual report filed in Japan on June 28, 2023) and Form 20-F (the annual report filed with the U.S. Securities and Exchange Commission on June 28, 2023) for the year ended March 31, 2023.

– 5 –

(1) Consolidated Balance Sheets


	Millions of yen
	March 31, 2023			December 31, 2023			Increase/ (Decrease)
ASSETS
Cash and cash deposits:
Cash and cash equivalents		3,820,685			4,337,014			516,329
Time deposits		409,082			489,290			80,208
Deposits with stock exchanges and other segregated cash		291,480			285,786			(5,694	)

Total cash and cash deposits		4,521,247			5,112,090			590,843

Loans and receivables:
Loans receivable		4,013,852			4,957,782			943,930
Receivables from customers		379,911			321,908			(58,003	)
Receivables from other than customers		819,263			1,188,688			369,425
Allowance for credit losses		(5,832	)		(3,916	)		1,916

Total loans and receivables		5,207,194			6,464,462			1,257,268

Collateralized agreements:
Securities purchased under agreements to resell		13,834,460			15,847,868			2,013,408
Securities borrowed		4,283,039			4,617,342			334,303

Total collateralized agreements		18,117,499			20,465,210			2,347,711

Trading assets and private equity and debt investments:
Trading assets*		17,509,934			20,150,489			2,640,555
Private equity and debt investments*		99,399			111,484			12,085

Total trading assets and private equity and debt investments		17,609,333			20,261,973			2,652,640

Other assets:
Office buildings, land, equipment and facilities (net of accumulated depreciation and amortization of ¥459,954 million as of March 31, 2023 and ¥502,837 million as of December 31, 2023)		464,316			466,800			2,484
Non-trading debt securities*		337,361			349,186			11,825
Investments in equity securities*		97,660			88,300			(9,360	)
Investments in and advances to affiliated companies*		402,485			451,731			49,246
Other		1,014,707			1,092,983			78,276

Total other assets		2,316,529			2,449,000			132,471

Total assets		47,771,802			54,752,735			6,980,933

^*	Including securities pledged as collateral

– 6 –


			Millions of yen
			March 31, 2023			December 31, 2023			Increase/ (Decrease)
LIABILITIES AND EQUITY
Short-term borrowings				1,008,541			874,631			(133,910	)
Payables and deposits:
Payables to customers				1,359,948			1,445,280			85,332
Payables to other than customers				1,799,585			2,441,592			642,007
Deposits received at banks				2,137,936			2,214,784			76,848

Total payables and deposits				5,297,469			6,101,656			804,187

Collateralized financing:
Securities sold under agreements to repurchase				14,217,966			18,938,951			4,720,985
Securities loaned				1,556,663			1,509,922			(46,741	)
Other secured borrowings				334,319			289,881			(44,438	)

Total collateralized financing				16,108,948			20,738,754			4,629,806

Trading liabilities				10,557,971			10,539,741			(18,230	)
Other liabilities				1,175,521			1,331,862			156,341
Long-term borrowings				10,399,210			11,805,442			1,406,232

Total liabilities				44,547,660			51,392,086			6,844,426

Equity
NHI shareholders’ equity:
Common stock
Authorized	-	6,000,000,000 shares
Issued	-	3,233,562,601 shares as of March 31, 2023 and
		3,163,562,601 shares as of December 31, 2023
Outstanding	-	3,003,679,324 shares as of March 31, 2023 and
		3,014,418,144 shares as of December 31, 2023		594,493			594,493			—
Additional paid-in capital				707,189			700,203			(6,986	)
Retained earnings				1,647,005			1,693,511			46,506
Accumulated other comprehensive income (loss)				318,454			370,507			52,053

Total NHI shareholders’ equity before treasury stock				3,267,141			3,358,714			91,573
Common stock held in treasury, at cost -
229,883,277 shares as of March 31, 2023 and
149,144,457 shares as of December 31, 2023				(118,574	)		(79,190	)		39,384

Total NHI shareholders’ equity				3,148,567			3,279,524			130,957

Noncontrolling interests				75,575			81,125			5,550

Total equity				3,224,142			3,360,649			136,507

Total liabilities and equity				47,771,802			54,752,735			6,980,933

– 7 –

(2) Consolidated Statements of Income


	Millions of yen					% Change
	For the nine months ended					(B-A)/(A)
	December 31, 2022(A)			December 31, 2023(B)		(B-A)/(A)
Revenue:
Commissions		216,085			257,410		19.1
Fees from investment banking		85,257			124,979		46.6
Asset management and portfolio service fees		204,323			225,969		10.6
Net gain on trading		444,955			357,245		(19.7	)
Gain on private equity and debt investments		9,253			9,892		6.9
Interest and dividends		679,225			1,894,409		178.9
Gain (loss) on investments in equity securities		(2,621	)		4,219		—
Other		79,584			112,417		41.3

Total revenue		1,716,061			2,986,540		74.0
Interest expense		705,417			1,869,642		165.0

Net revenue		1,010,644			1,116,898		10.5

Non-interest expenses:
Compensation and benefits		450,230			496,440		10.3
Commissions and floor brokerage		88,946			100,016		12.4
Information processing and communications		155,863			160,794		3.2
Occupancy and related depreciation		50,182			50,884		1.4
Business development expenses		16,363			17,697		8.2
Other		122,277			109,311		(10.6	)

Total non-interest expenses		883,861			935,142		5.8

Income before income taxes		126,783			181,756		43.4
Income tax expense		43,710			68,151		55.9

Net income		83,073			113,605		36.8

Less: Net income (loss) attributable to noncontrolling interests		(2,338	)		4,492		—

Net income attributable to NHI shareholders		85,411			109,113		27.8

Per share of common stock:

	Yen					% Change
Basic-
Net income attributable to NHI shareholders per share		28.40			36.08		27.0

Diluted-
Net income attributable to NHI shareholders per share		27.44			34.69		26.4

– 8 –

(3) Consolidated Statements of Comprehensive Income


	Millions of yen						% Change
	For the nine months ended						(B-A)/(A)
	December 31, 2022(A)			December 31, 2023(B)			(B-A)/(A)
Net income		83,073			113,605			36.8
Other comprehensive income (loss):
Cumulative translation adjustments:
Cumulative translation adjustments		104,090			99,369			(4.5	)
Deferred income taxes		(278	)		(1,030	)		—

Total		103,812			98,339			(5.3	)

Defined benefit pension plans:
Pension liability adjustment		1,881			1,227			(34.8	)
Deferred income taxes		(492	)		(337	)		—

Total		1,389			890			(35.9	)

Own credit adjustments:
Own credit adjustments		73,947			(57,880	)		—
Deferred income taxes		(16,169	)		11,573			—

Total		57,778			(46,307	)		—

Total other comprehensive income		162,979			52,922			(67.5	)

Comprehensive income		246,052			166,527			(32.3	)
Less: Comprehensive income (loss) attributable to noncontrolling interests		(1,457	)		5,361			—

Comprehensive income attributable to NHI shareholders		247,509			161,166			(34.9	)

(4) Note with respect to the Assumption as a Going Concern

Not applicable.

– 9 –

(5) Segment Information – Operating Segment

The following table shows business segment information and reconciliation items to the consolidated statements of income.


	Millions of yen						% Change
	For the nine months ended						(B-A)/(A)
	December 31, 2022 (A)			December 31, 2023 (B)			(B-A)/(A)
Net revenue

Business segment information:
Retail		224,885			293,607			30.6
Investment Management		90,715			110,582			21.9
Wholesale		593,543			611,933			3.1

Subtotal		909,143			1,016,122			11.8
Other		126,858			115,328			(9.1	)

Net revenue		1,036,001			1,131,450			9.2

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		(25,357	)		(14,552	)		—

Net revenue		1,010,644			1,116,898			10.5


Non-interest expenses

Business segment information:
Retail		201,221			209,688			4.2
Investment Management		63,574			68,144			7.2
Wholesale		549,936			578,598			5.2

Subtotal		814,731			856,430			5.1
Other		69,130			78,712			13.9

Non-interest expenses		883,861			935,142			5.8

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		—			—			—

Non-interest expenses		883,861			935,142			5.8


Income (loss) before income taxes

Business segment information:
Retail		23,664			83,919			254.6
Investment Management		27,141			42,438			56.4
Wholesale		43,607			33,335			(23.6	)

Subtotal		94,412			159,692			69.1
Other*		57,728			36,616			(36.6	)

Income (loss) before income taxes		152,140			196,308			29.0

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		(25,357	)		(14,552	)		—

Income (loss) before income taxes		126,783			181,756			43.4

*	Major components

Transactions between operating segments are recorded within segment results on commercial terms and conditions, and are eliminated in “Other.”

The following table presents the major components of income (loss) before income taxes in “Other.”


	Millions of yen						% Change
	For the nine months ended						(B-A)/(A)
	December 31, 2022 (A)			December 31, 2023 (B)			(B-A)/(A)
Net gain (loss) related to economic hedging transactions		(11,164	)		2,064			—
Realized gain (loss) on investments in equity securities held for operating purposes		22,190			19,979			(10.0)
Equity in earnings of affiliates		35,000			31,561			(9.8)
Corporate items		(4,798	)		(3,137	)		—
Other		16,500			(13,851	)		—

Total		57,728			36,616			(36.6)

– 10 –

(6) Significant Changes in Equity

Not applicable. For further details of the changes, please refer below.


	Millions of yen
	For the nine months ended December 31, 2023
Common stock
Balance at beginning of year		594,493

Balance at end of period		594,493

Additional paid-in capital
Balance at beginning of year		707,189
Stock-based compensation awards		(6,973	)
Changes in an affiliated company’s interests		(13	)

Balance at end of period		700,203

Retained earnings
Balance at beginning of year		1,647,005
Net income attributable to NHI shareholders		109,113
Cash dividends		(24,112	)
Loss on sales of treasury stock		(2,390	)
Cancellation of treasury stock		(36,105	)

Balance at end of period		1,693,511

Accumulated other comprehensive income (loss)
Cumulative translation adjustments
Balance at beginning of year		242,767
Net change during the period		97,470

Balance at end of period		340,237

Defined benefit pension plans
Balance at beginning of year		(32,174	)
Pension liability adjustment		890

Balance at end of period		(31,284	)

Own credit adjustments
Balance at beginning of year		107,861
Own credit adjustments		(46,307	)

Balance at end of period		61,554

Balance at end of period		370,507

Common stock held in treasury
Balance at beginning of year		(118,574	)
Repurchases of common stock		(20,010	)
Sale of common stock		0
Common stock issued to employees		23,289
Cancellation of treasury stock		36,105

Balance at end of period		(79,190	)

Total NHI shareholders’ equity

Balance at end of period		3,279,524

Noncontrolling interests
Balance at beginning of year		75,575
Net change during the period		5,550

Balance at end of period		81,125

Total equity

Balance at end of period		3,360,649

– 11 –

3. Supplementary Information

(1) Consolidated Statements of Income – Quarterly Comparatives


	Millions of yen																		% Change			Millions of yen
	For the three months ended																					For the year ended
	June 30, 2022			September 30, 2022			December 31, 2022			March 31, 2023		June 30, 2023		September 30, 2023(A)		December 31, 2023(B)			(B-A)/(A)			March 31, 2023
Revenue:
Commissions		70,431			68,152			77,502			63,772		82,770		88,922		85,718			(3.6	)		279,857
Fees from investment banking		27,285			24,189			33,783			27,951		31,146		38,604		55,229			43.1			113,208
Asset management and portfolio service fees		68,250			69,038			67,035			67,361		71,807		76,666		77,496			1.1			271,684
Net gain on trading		141,918			160,905			142,132			118,314		115,563		116,613		125,069			7.3			563,269
Gain (loss) on private equity and debt investments		(4,535	)		5,738			8,050			5,251		6,887		1,123		1,882			67.6			14,504
Interest and dividends		109,049			196,893			373,283			435,465		549,651		658,458		686,300			4.2			1,114,690
Gain (loss) on investments in equity securities		(1,742	)		(1,523	)		644			1,195		4,777		2,792		(3,350	)		—			(1,426	)
Other		(688	)		10,460			69,812			51,356		30,752		29,522		52,143			76.6			130,940

Total revenue		409,968			533,852			772,241			770,665		893,353		1,012,700		1,080,487			6.7			2,486,726
Interest expense		110,940			215,894			378,583			445,732		544,440		644,940		680,262			5.5			1,151,149

Net revenue		299,028			317,958			393,658			324,933		348,913		367,760		400,225			8.8			1,335,577

Non-interest expenses:
Compensation and benefits		143,061			150,894			156,275			155,557		158,673		167,138		170,629			2.1			605,787
Commissions and floor brokerage		28,488			28,183			32,275			30,291		31,365		34,336		34,315			(0.1	)		119,237
Information processing and communications		49,732			52,127			54,004			53,674		52,836		53,616		54,342			1.4			209,537
Occupancy and related depreciation		16,359			16,643			17,180			16,675		16,601		17,477		16,806			(3.8	)		66,857
Business development expenses		4,699			5,353			6,311			6,273		6,144		5,396		6,157			14.1			22,636
Other		44,956			33,274			44,047			39,772		36,984		33,062		39,265			18.8			162,049

Total non-interest expenses		287,295			286,474			310,092			302,242		302,603		311,025		321,514			3.4			1,186,103

Income before income taxes		11,733			31,484			83,566			22,691		46,310		56,735		78,711			38.7			149,474
Income tax expense		11,340			14,741			17,629			14,088		20,428		21,150		26,573			25.6			57,798

Net income		393			16,743			65,937			8,603		25,882		35,585		52,138			46.5			91,676

Less: Net income (loss) attributable to noncontrolling interests		(1,303	)		(28	)		(1,007	)		1,228		2,551		353		1,588			349.9			(1,110	)

Net income attributable to NHI shareholders		1,696			16,771			66,944			7,375		23,331		35,232		50,550			43.5			92,786


	Yen																		% Change			Yen
Per share of common stock:
Basic-
Net income attributable to NHI shareholders per share		0.56			5.59			22.30			2.46		7.71		11.61		16.77			44.4			30.86

Diluted-
Net income attributable to NHI shareholders per share		0.52			5.41			21.51			2.34		7.40		11.21		16.10			43.6			29.74

– 12 –

(2) Business Segment Information – Quarterly Comparatives

The following table shows quarterly business segment information and reconciliation items to the consolidated statements of income.


	Millions of yen																					% Change			Millions of yen
	For the three months ended																								For the year ended
	June 30, 2022			September 30, 2022			December 31, 2022			March 31, 2023			June 30, 2023			September 30, 2023(A)			December 31, 2023(B)			(B-A)/(A)			March 31, 2023
Net revenue

Business segment information:
Retail		71,386			72,480			81,019			75,306			92,050			98,932			102,625			3.7			300,191
Investment Management		7,579			26,171			56,965			37,844			26,525			45,111			38,946			(13.7	)		128,559
Wholesale		198,987			205,499			189,057			178,837			190,850			204,087			216,996			6.3			772,380

Subtotal		277,952			304,150			327,041			291,987			309,425			348,130			358,567			3.0			1,201,130
Other		23,925			15,623			87,310			37,860			43,755			16,953			54,620			222.2			164,718

Net revenue		301,877			319,773			414,351			329,847			353,180			365,083			413,187			13.2			1,365,848

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		(2,849	)		(1,815	)		(20,693	)		(4,914	)		(4,267	)		2,677			(12,962	)		—			(30,271	)

Net revenue		299,028			317,958			393,658			324,933			348,913			367,760			400,225			8.8			1,335,577


Non-interest expenses

Business segment information:
Retail		66,470			66,995			67,756			65,474			69,103			69,887			70,698			1.2			266,695
Investment Management		19,293			20,618			23,663			21,490			22,898			21,896			23,350			6.6			85,064
Wholesale		173,715			185,310			190,911			193,075			188,749			195,823			194,026			(0.9	)		743,011

Subtotal		259,478			272,923			282,330			280,039			280,750			287,606			288,074			0.2			1,094,770
Other		27,817			13,551			27,762			22,203			21,853			23,419			33,440			42.8			91,333

Non-interest expenses		287,295			286,474			310,092			302,242			302,603			311,025			321,514			3.4			1,186,103

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		—			—			—			—			—			—			—			—			—

Non-interest expenses		287,295			286,474			310,092			302,242			302,603			311,025			321,514			3.4			1,186,103


Income (loss) before income taxes

Business segment information:
Retail		4,916			5,485			13,263			9,832			22,947			29,045			31,927			9.9			33,496
Investment Management		(11,714	)		5,553			33,302			16,354			3,627			23,215			15,596			(32.8	)		43,495
Wholesale		25,272			20,189			(1,854	)		(14,238	)		2,101			8,264			22,970			178.0			29,369

Subtotal		18,474			31,227			44,711			11,948			28,675			60,524			70,493			16.5			106,360
Other*		(3,892	)		2,072			59,548			15,657			21,902			(6,466	)		21,180			—			73,385

Income (loss) before income taxes		14,582			33,299			104,259			27,605			50,577			54,058			91,673			69.6			179,745

Reconciliation items:
Unrealized gain (loss) on investments in equity securities held for operating purposes		(2,849	)		(1,815	)		(20,693	)		(4,914	)		(4,267	)		2,677			(12,962	)		—			(30,271	)

Income (loss) before income taxes		11,733			31,484			83,566			22,691			46,310			56,735			78,711			38.7			149,474

*	Major components

Transactions between operating segments are recorded within segment results on commercial terms and conditions, and are eliminated in “Other.”

The following table presents the major components of income (loss) before income taxes in “Other.”


	Millions of yen																					% Change			Millions of yen
	For the three months ended																								For the year ended
	June 30, 2022			September 30, 2022			December 31, 2022			March 31, 2023			June 30, 2023			September 30, 2023(A)			December 31, 2023(B)			(B-A)/(A)			March 31, 2023
Net gain (loss) related to economic hedging transactions		(9,807	)		98			(1,455	)		6,318			3,394			(8,905	)		7,575			—			(4,846	)
Realized gain (loss) on investments in equity securities held for operating purposes		240			55			21,895			6,195			8,191			26			11,762			—			28,385
Equity in earnings of affiliates		16,993			9,114			8,893			12,744			13,718			9,013			8,830			(2.0	)		47,744
Corporate items		(5,988	)		4,513			(3,323	)		(7,792	)		1,942			1,380			(6,459	)		—			(12,590	)
Other		(5,330	)		(11,708	)		33,538			(1,808	)		(5,343	)		(7,980	)		(528	)		—			14,692

Total		(3,892	)		2,072			59,548			15,657			21,902			(6,466	)		21,180			—			73,385

– 13 –

(3)

Other

Quarterly financial information for Nomura Securities Co., Ltd. can be found at the following URL.

https://www.nomuraholdings.com/company/group/nsc/pdf/2024_3q.pdf

– 14 –

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