DOCSLIB.ORG

Nomura-Greentech-Gen

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
Nomura-Greentech-Gen Sustainable Technology and Infrastructure Monthly Market Update // March 2021 Performance of Key Market Indices1 400.0% 340.0% 268.2% 280.0% 220.0% 160.0% 80.0% 100.0% 60.8% 40.0% 57.8% (20.0%) Mar-20 May-20 Jul-20 Sep-20 Nov-20 Jan-21 Mar-21 NASDAQ Clean Edge Green Energy MSCI World Index NASDAQ Composite S&P 500 Index Performance1 March Ending Versus First Day of the March YTD CY 2020 52 Wk High 52 Wk Low MSCI World Index 4.5% 4.5% 14.1% (0.6%) 58.2% NASDAQ Composite 2.8% 2.8% 43.6% (6.0%) 80.0% S&P 500 5.8% 5.8% 16.3% (0.0%) 60.8% NASDAQ Clean Edge Green Energy (2.3%) (2.3%) 182.4% (22.2%) 272.5% Denotes Nomura Notable Recent Transactions & Capital Raises Greentech Transaction Date Target Acquirer Transaction Description Performance Cerberus Capital A partnership formed by Cerberus Capital Management and Koch Minerals & Trading chemicals business Management and Mar. 1 has agreed to acquire the performance chemicals business from PQ Group Holdings, a from PQ Group Koch Minerals & global provider of specialty materials, in a deal valued at $1.1bn Holdings Trading Corporate M&A Laird Performance DuPont, a specialty materials company, acquired Laird Performance Materials, a Transactions Mar. 8 DuPont Materials developer of electronic systems for AVs and other end markets, for $2.3bn Blackstone acquired DESOTEC, a leading European environmental service company Mar. 18 DESOTEC Blackstone and provider of innovative circular filtration solutions, for an undisclosed amount Date Company Transaction Description Uplight, a U.S.-based provider of edge of the grid technology, raised an undisclosed amount from Schneider Mar. 2 Uplight Electric, Huck Capital, and AES Corp. in a deal that values Uplight at $1.5bn Capital Raises Momenta, China-based developer of autonomous vehicles, raised $500mm in a round led by SAIC Motor, Mar. 19 Momenta Toyota and Bosch, with participation from Temasek, Yunfeng Capital, Mercedes-Benz AG, Xiaomi, Shunwei Capital, Tencent, Cathay Capital Date Company Transaction Description The Metals Company The Metals Company, a developer of battery metals for EVs, announced plans to merge with Sustainable Mar. 8 (f.k.a DeepGreen Opportunities Acquisition Corp., a SPAC, at a valuation of $2.9bn2 Metals) SPAC Transactions AeroFarms, a vertical farming platform, announced plans to merge with Spring Valley Acquisition Corp., a Mar. 26 AeroFarms SPAC, at a valuation of $1.2bn2 Lilium, an electric vertical take off and landing OEM, announced plans to merge with Qell Acquisition Corp., a Mar. 30 Lilium SPAC, at a valuation of $3.3bn2 About Nomura Greentech Nomura Greentech is a fully integrated investment banking team within Nomura which provides M&A and strategic advisory services and raises capital for sustainable technology and infrastructure clients, globally. The team focuses exclusively on clients which are using 21st century technologies to accelerate the transformation of our core infrastructure systems – energy, transportation, food, water and waste – to be lower carbon, more efficient and digitally networked. Nomura Greentech connects high-growth leading innovators with large global incumbents and capital providers, and since its founding in 2009 has closed over 140 transactions with sustainable technology and infrastructure companies and investors. Source: FactSet, SEC filings and third-party providers. 1. Performance does not include reinvestment of dividends. 1 2. Pro forma equity value. Select Recent Sustainable Technology & Infrastructure M&A Transactions (1/4) Corporate Transactions Transaction Transaction Multiple1 Date Target Acquirer Value ($mm) Subsector Transaction Description Revenue EBITDA A partnership formed by Cerberus Capital Performance Cerberus Capital Management and Koch Minerals & Trading has chemicals business Management and Environmental agreed to acquire the performance chemicals Mar. 1 $1,100 ND ND from PQ Group Koch Minerals & Services business from PQ Group Holdings, a global Holdings Trading provider of specialty materials, in a deal valued at $1.1bn PQ Group Holdings, a global provider of specialty materials, acquired Chem32, a leading supplier of Environmental Mar. 1 Chem32 PQ Group Holdings $44 catalyst pre-activation services used in the ND ND Services production of traditional and renewable fuels, for $44mm Ovarro, a U.K.-based provider of remote monitoring systems for water and other infrastructure sectors, acquired ControlPoint, a Mar. 2 ControlPoint Ovarro ND Water ND ND U.K.- based provider of digital quality assurance and data management solutions for water and gas utilities, for an undisclosed amount PreZero US, a California-based recycling solutions and environmental services company, Environmental Mar. 3 Roplast Industries PreZero US ND acquired Roplast Industries, a California-based ND ND Services polyethylene film and bag manufacturer, for an undisclosed amount Mitsui & Co., the Japanese general trading Energy and conglomerate, acquired 15.4% of Storegga Storegga Mar. 3 Mitsui & Co. ND Industrial Geotechnologies, a developer of the Acorn ND ND Geotechnologies Technology carbon capture and storage project, for an undisclosed amount Watts Water, a leading manufacturer of water The Detection quality solutions, acquired The Detection Group, a Mar. 3 Watts Water ND Water ND ND Group California-based provider of wireless water security solutions, for an undisclosed amount Drew Marine, a U.S. provider of water treatment Flow Water and maritime solutions and portfolio company of Technologies Court Square Capital Partners, acquired the Mar. 4 Drinking Water and Drew Marine ND Water ND ND Drinking Water & Disinfection business of Flow Disinfection Water Technologies, a Cyprus-based water operations purification provider, for an undisclosed amount Indutrade, a Swedish provider of engineering, equipment, flow technology and industrial Mar. 5 Efcon Water Indutrade ND Water components, acquired Efcon Water, a Dutch ND ND wastewater sampling company, for an undisclosed amount DuPont, a specialty materials company, acquired Laird Performance Advanced Laird Performance Materials, a developer of Mar. 8 DuPont $2,300 4.9x 15.0x Materials Transportation electronic systems for AVs and other end markets, for $2.3bn Nordic Capital, a private equity firm, acquired Environmental Sortera, a Sweden-based environmental services Mar. 8 Sortera Nordic Capital ND ND ND Services provider of focused recycling and waste solutions, for an undisclosed amount American AllWaste, a provider of non-hazardous liquid waste transportation and disposal, sewer Environmental infrastructure cleaning and other services, Mar. 8 L&G Environmental American AllWaste ND ND ND Services acquired L&G Environmental, a Brenham, Texas- based non-hazardous liquid waste processing facility, for an undisclosed amount 2 Source: FactSet, Press releases, SEC filings and Third-party providers. 1. Transaction multiples represent EV/LTM Revenue and EV/LTM Adj. EBITDA. Select Recent Sustainable Technology & Infrastructure M&A Transactions (2/4) Corporate Transactions Transaction Transaction Multiple1 Date Target Acquirer Value ($mm) Subsector Transaction Description Revenue EBITDA Vortex Technology Group, a division of Vortex Companies and global provider of infrastructure Vortex Technology Mar. 8 Zia Systems ND Water products and services, acquired Zia Systems, an ND ND Group integrated solutions provider of monitoring technology, for an undisclosed amount EasyPark, a provider of parking solutions, Advanced Mar. 9 Park Mobile EasyPark ND acquired Park Mobile, a provider of smart parking ND ND Transportation and mobility solutions, for an undisclosed amount Pilot Water Solutions, a U.S. midstream saltwater disposal and transportation company, acquired Pilot Water Mar. 9 Felix Water ND Water Felix Water, a Colorado-based provider of water ND ND Solutions sourcing, transportation, gathering, disposal and reuse, for an undisclosed amount Via, a developer of rideshare software, acquired Advanced Mar. 10 Remix Via $100 Remix, a developer of urban mapping and transit ND ND Transportation planning software, for $100mm Ideanomics, a developer of fintech products, Advanced Mar. 10 Energica Motor Ideanomics $13 acquired a minority stake in Energica Motor, a ND ND Transportation manufacturer of electric motorbikes, for $13mm Northvolt, a developer of industrial and Advanced Mar. 10 Cuberg Northvolt ND automotive batteries, acquired Cuberg, a ND ND Transportation developer of batteries, for an undisclosed amount Circon Environmental, a provider of hazardous Bealine waste management solutions, acquired Bealine Circon Environmental Mar. 11 Environmental ND Environmental Services, a Texas-based owner ND ND Environmental Services Services and operator of a non-hazardous centralized waste facility, for an undisclosed amount Cruise, a developer of AV technology, acquired Advanced Mar. 15 Voyage Cruise ND Voyage, a developer of an autonomous taxi ND ND Transportation service, for an undisclosed amount GFL Environmental, a Canadian waste management company, acquired the solid waste Terrapure Environmental and environmental solutions business of Mar. 15 GFL Environmnetal $743 ND ND Environmental Services Terrapure Environmental, a Canada-based integrated provider of solid and liquid waste management and industrial services, for $743mm Agricultural Cargill acquired Precision Ag, a Canada-based Mar. 16 Precision Ag Cargill ND ND ND Technology crop inputs platform, for an undisclosed amount Upstart, a developer of an AI lending platform, Advanced acquired
Load more

Recommended publications
  • Giovannini Barrier 4 and 7
    Giovannini Barrier 4 and 7 Godfried de Vidts and Mark Austen Joint submission of European Primary Dealers Association and the European Repo Committee Clearing and Settlement Advisory and Monitoring Experts’ Group 12 June 2006 EPDA Mission EPDA Mandate Provide a representative forum for EMU government primary dealers Address, seek consensus and resolve primary and secondary market issues in EMU government bond markets Focus on integration and efficiency of European government bond markets EPDA Objectives Consult with key market participants, including EU DMOs/Treasuries, Central Banks, EU Commission and ECB on: Recommendations for efficient primary market procedures and practices Promotion of an efficient, integrated, transparent and liquid secondary market Providing best practice recommendations Issuing comment letters on regulatory and legal proposals Information, education and research projects and conferences 21 EPDA Executive Members Executive members represent 164 dealerships in the EMU ABN Amro ING Bank Barclays Capital J.P. Morgan BNP Paribas Lehman Brothers Calyon Merrill Lynch IXIS CIB Morgan Stanley Citigroup Nomura Securities Credit Suisse RBS Deutsche Bank Société Générale Dresdner Bank UBS Goldman Sachs Unicredit Banca Mobiliare HSBC 15 EPDA Clearing and Settlement Working Group Representatives from Clearing and Settlement departments Barclays Capital HSBC BNP Paribas ING Bank IXIS CIB J.P. Morgan Citigroup Credit Suisse Lehman Brothers Deutsche Bank Merrill Lynch Dresdner Bank Nomura Securities Goldman Sachs UBS ICMA
    [Show full text]
  • Nomura Securities International, Inc. (“Nomura” Or “Respondent”)
    UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 86372 / July 15, 2019 ADMINISTRATIVE PROCEEDING File No. 3-19248 ORDER INSTITUTING In the Matter of ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b) OF NOMURA SECURITIES THE SECURITIES EXCHANGE ACT INTERNATIONAL, INC., OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS Respondent. I. The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“Exchange Act”) against Nomura Securities International, Inc. (“Nomura” or “Respondent”). II. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement (the “Offer”) which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, admitting only the Commission’s jurisdiction over it and the subject matter of these proceedings, Respondent consents to the entry of this Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (“Order”), as set forth below. III. On the basis of this Order and Respondent’s Offer, the Commission finds1 that: Summary 1. These proceedings arise out of Nomura’s failure reasonably to supervise three
    [Show full text]
  • Case 1:19-Cv-02601-VM Document 73 Filed 09/06/19 Page 1 of 79
    Case 1:19-cv-02601-VM Document 73 Filed 09/06/19 Page 1 of 79 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ) ) IN RE EUROPEAN GOVERNMENT BONDS ) Lead Case No. 1:19-cv-2601 ANTITRUST LITIGATION ) ) Hon. Victor Marrero ) ) JURY TRIAL DEMANDED ) ) ) SECOND AMENDED CONSOLIDATED CLASS ACTION COMPLAINT Case 1:19-cv-02601-VM Document 73 Filed 09/06/19 Page 2 of 79 Plaintiffs Ohio Carpenters’ Pension Fund, Boston Retirement System, and Electrical Workers Pension Fund Local 103 I.B.E.W., on behalf of themselves and all others similarly situated, file this Complaint against Defendants Bank of America, N.A., Bank of America Merrill Lynch International Designated Activity Company (f/k/a Bank of America Merrill Lynch International Limited), Merrill Lynch International (collectively, “Bank of America”); NatWest Markets plc (f/k/a Royal Bank of Scotland plc), NatWest Markets Securities Inc. (f/k/a RBS Securities Inc.) (collectively, “RBS”); Nomura Securities International Inc., Nomura International PLC (collectively, “Nomura”); and UniCredit Bank AG, UniCredit Capital Markets LLC (collectively, “UniCredit”). Plaintiffs’ allegations are made on personal knowledge as to Plaintiffs and Plaintiffs’ own acts and upon information and belief as to all other matters. I. NATURE OF THE ACTION 1. Plaintiffs’ claim arises from Defendants’ and their co-conspirators’ anticompetitive scheme to fix, raise, maintain, stabilize, or otherwise manipulate the price of Euro-denominated bonds issued by European governments (“European Government Bonds”) and sold and purchased throughout the United States from at least as early as January 1, 2007 through at least December 31, 2012 (the “Class Period”).
    [Show full text]
  • PROSPECTUS SUPPLEMENT (To Prospectus Dated June 7, 2013)
    Filed pursuant to Rule 424(b)(2) Registration Nos. 333-189150 333-189150-01 PROSPECTUS SUPPLEMENT (to prospectus dated June 7, 2013) $1,000,000,000 Lloyds Banking Group plc 4.500% Fixed Rate Subordinated Debt Securities due 2024 The 4.500% Fixed Rate Subordinated Debt Securities due 2024 (the “Subordinated Notes”) will bear interest at a rate of 4.500% per year. From and including the date of issuance, interest will be paid on the Subordinated Notes on May 4 and November 4 of each year, beginning on May 4, 2015. The Subordinated Notes will be due on November 4, 2024. The Subordinated Notes will be issued in denominations of $200,000 and in multiples of $1,000 in excess thereof. The Subordinated Notes will constitute our direct, unconditional, unsecured and subordinated obligations ranking pari passu without any preference among themselves and ranking junior in right of payment to the claims of any existing and future unsecured and unsubordinated indebtedness. In a winding up, all amounts due in respect of or arising under (including any damages awarded for breach of any obligations under) the Subordinated Notes will be subordinated to, and subject in right of payment to the prior payment in full of, all claims of all Senior Creditors (as defined herein). By purchasing the Subordinated Notes, each holder (including each beneficial owner) of the Subordinated Notes acknowledges, agrees to be bound by and consents to the exercise of any U.K. bail-in power (as defined below) by the relevant U.K. resolution authority that may result in (i) the cancellation of all, or a portion, of the principal amount of, or interest on, the Subordinated Notes and/or (ii) the conversion of all, or a portion, of the principal amount of, or interest on, the Subordinated Notes into shares or other securities or other obligations of LBG or another person, which U.K.
    [Show full text]
  • Participant List
    Participant List 10/20/2019 8:45:44 AM Category First Name Last Name Position Organization Nationality CSO Jillian Abballe UN Advocacy Officer and Anglican Communion United States Head of Office Ramil Abbasov Chariman of the Managing Spektr Socio-Economic Azerbaijan Board Researches and Development Public Union Babak Abbaszadeh President and Chief Toronto Centre for Global Canada Executive Officer Leadership in Financial Supervision Amr Abdallah Director, Gulf Programs Educaiton for Employment - United States EFE HAGAR ABDELRAHM African affairs & SDGs Unit Maat for Peace, Development Egypt AN Manager and Human Rights Abukar Abdi CEO Juba Foundation Kenya Nabil Abdo MENA Senior Policy Oxfam International Lebanon Advisor Mala Abdulaziz Executive director Swift Relief Foundation Nigeria Maryati Abdullah Director/National Publish What You Pay Indonesia Coordinator Indonesia Yussuf Abdullahi Regional Team Lead Pact Kenya Abdulahi Abdulraheem Executive Director Initiative for Sound Education Nigeria Relationship & Health Muttaqa Abdulra'uf Research Fellow International Trade Union Nigeria Confederation (ITUC) Kehinde Abdulsalam Interfaith Minister Strength in Diversity Nigeria Development Centre, Nigeria Kassim Abdulsalam Zonal Coordinator/Field Strength in Diversity Nigeria Executive Development Centre, Nigeria and Farmers Advocacy and Support Initiative in Nig Shahlo Abdunabizoda Director Jahon Tajikistan Shontaye Abegaz Executive Director International Insitute for Human United States Security Subhashini Abeysinghe Research Director Verite
    [Show full text]
  • Nomura Securities International, Inc. Consolidated Statement of Financial Condition September 30, 2020
    C ONSOLIDATED S TATEMENT OF F INANCIAL C ONDITION Nomura Securities International, Inc. (A subsidiary of Nomura Holding America Inc.) September 30, 2020 (Unaudited) Nomura Securities International, Inc. Consolidated Statement of Financial Condition September 30, 2020 Contents Consolidated Statement of Financial Condition ........................................................................................... 1 Notes to Consolidated Statement of Financial Condition ............................................................................. 2 Nomura Securities International, Inc. Consolidated Statement of Financial Condition September 30, 2020 (Dollars in Thousands) Assets Cash and cash equivalents $ 2,639,924 Deposits with exchanges and cash segregated under federal and other regulations or requirements 1,016,195 Collateralized financing agreements: Securities purchased under agreements to resell (includes $173,586 at fair value)$ 62,352,194 Securities borrowed 18,224,531 80,576,725 Securities received as collateral at fair value 1,056,124 Trading assets ($17,169,244 were pledged to various parties and $188,865 related to consolidated variable interest entities, not available to the Company) 55,465,518 Receivables: Customers 2,003,040 Brokers, dealers and clearing organizations 1,189,356 Interest and dividends 198,543 3,390,939 Furniture, equipment, leasehold improvements and software, net (includes accumulated depreciation and amortization of $68,186) 28,259 Other assets 159,845 Total assets $ 144,333,529 Liabilities and stockholder’s
    [Show full text]
  • HC Asset Management Co., Ltd. Company Profile
    HC Asset Management Co., Ltd. Company Profile March 2021 https://www.hcax.com Registration Financial Instruments Firm Kanto Local Finance Bureau #430 Membership Japan Investment Advisers Association Japan Securities Dealers Association The Investment Trusts Association, Japan Overview As of March-end 2021 Assets by Mandate USD, million % Founded November 29, 2002 Income Plus 609 25.1 Income 256 10.6 Capital JPY212,800,000 Global Bond 312 12.9 Ownership Employees and others Global Equity 832 34.3 Japan Opportunities 272 11.2 Chief Executive Noriyuki Morimoto Global Opportunities 145 6.0 # of staff 36 （as of April 1 st 2021 ） TOTAL 2,426 100.0 Services Investment Management* Assets by Clients USD, million % Pension Funds Corporate 1,759 72.5 Assets 2,426 million USD （as of March 31 2021 ） Multi Employer 10 0.4 51 clients 73 accounts Institutions Insurance 234 9.7 All institutional clients, 72% pension funds Bank 163 6.7 Registration Kanto Local Finance Bureau #430 Others Endowment 252 10.4 Corporate 8 0.3 Memberships Japan Investment Advisers Association TOTAL 2,426 100.0 Japan Securities Dealers Association Assets by Managers USD, million % The Investment Trusts Association, Japan 1 Cedar Rock 366 15.1 2 Artisan 320 13.2 3 Fortress 286 11.8 HC acquired Assurance reports under the Practical Guidance on 4 Oaktree 111 4.6 Assurance Engagements 3402 relating to our Investment Management 5 Blackstone 110 4.5 Business by an Independent Accounting Firm. Practical Guidance on 6 Income Partners 102 4.2 Assurance Engagements 3402 was developed by the Japanese Institute of 7 Granahan 91 3.7 Certified Public Accountants (JICPA) as equivalent to ISAE 3402.
    [Show full text]
  • NOMURA HOLDINGS INC Form FWP Filed 2021-03-24
    SECURITIES AND EXCHANGE COMMISSION FORM FWP Filing under Securities Act Rules 163/433 of free writing prospectuses Filing Date: 2021-03-24 SEC Accession No. 0001193125-21-091811 (HTML Version on secdatabase.com) SUBJECT COMPANY NOMURA HOLDINGS INC Mailing Address Business Address 1-13-1 NIHONBASHI 1-13-1 NIHONBASHI CIK:1163653| IRS No.: 000000000 | State of Incorp.:M0 | Fiscal Year End: 0331 CHUO-KU CHUO-KU Type: FWP | Act: 34 | File No.: 333-229191 | Film No.: 21766504 TOKYO M0 103-8645 TOKYO M0 103-8645 SIC: 6211 Security brokers, dealers & flotation companies 81-3-5255-1000 FILED BY NOMURA HOLDINGS INC Mailing Address Business Address 1-13-1 NIHONBASHI 1-13-1 NIHONBASHI CIK:1163653| IRS No.: 000000000 | State of Incorp.:M0 | Fiscal Year End: 0331 CHUO-KU CHUO-KU Type: FWP TOKYO M0 103-8645 TOKYO M0 103-8645 SIC: 6211 Security brokers, dealers & flotation companies 81-3-5255-1000 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Issuer Free Writing Prospectus Filed by Nomura Holdings, Inc. Pursuant to Rule 433 Registration Statement No. 333-229191 March 23, 2021 Nomura Holdings, Inc. Pricing Term Sheet $1,250,000,000 1.864% Senior Notes due 2026 Issuer: Nomura Holdings, Inc. Type of Securities: Senior unsecured fixed rate notes Principal Amount: $1,250,000,000 Expected Security Ratings:* Baa1 (Moodys) / BBB+ (S&P) Trade Date: March 23, 2021 Settlement Date: March 29, 2021 (T+4) Issue Date: March 29, 2021 Maturity Date: April 10, 2026 Interest Rate: 1.864% per annum, payable semi-annually in arrears Interest Payment Dates: April 10 and October 10 of each year, commencing on October 10, 2021 (long first coupon), to and including the Maturity Date, subject to adjustment in accordance with the Business Day Convention.
    [Show full text]
  • 2020 NSI FCM Disclosure Document
    – NOMURA SECURITIES INTERNATIONAL, INC. FUTURES COMMISSION MERCHANT DISCLOSURE DOCUMENT PURSUANT TO COMMODITY FUTURES TRADING COMMISSION RULE 1.55(i), 1.55(k), AND 1.55(O) The Commodity Futures Trading Commission (“Commission” or “CFTC”) requires each futures commission merchant (“FCM”), including Nomura Securities International, Inc. (“NSI”), to provide the following information to a customer prior to the time the customer first enters into an account agreement with the FCM or deposits money or securities (“funds”) with the FCM. Except as otherwise noted, the information set out is as of December 9, 2020. NSI will update this information annually and as necessary to take account of any material change to its business operations, financial condition or other factors that NSI believes may be material to a customer’s decision to use NSI for FCM-related business. Nonetheless, NSI’s business activities and financial data are not static and may change in non-material ways frequently throughout any 12-month period. In addition, NSI is a wholly-owned subsidiary of Nomura Holding America Inc., which is, in turn, a wholly-owned subsidiary of Nomura Holdings, Inc. Information that may be material with respect to NSI for purposes of the Commission’s FCM disclosure requirements may not be material to Nomura Holding America Inc. or Nomura Holdings, Inc. for purposes of applicable securities laws. As of December 9, 2020 This disclsoure document was first used on July 12, 2014, and has been updated periodically. Table of Contents I. Contact Information II. FCM Designated Self-Regulatory Organization (DSRO) III. FCM Principals IV. Business Activities and Product Lines; Percentage of Assets and Capital Used for Each Activity V.
    [Show full text]
  • Corporate Data(739KB)
    Corporate Data (As of March 31, 2012) Profile of the company Corporate Name Japan Securities Depository Center, Incorporated Registered Office Address 1-1 Nihombashi-Kayaba-cho, 2-chome, Chuo-ku, Tokyo, Japan Established January 4, 2002 Representative President and CEO Haruhiko Kato (1) Book-entry transfer for stocks, etc. (2) Book-entry transfer for commercial paper (3) Book-entry transfer for corporate bonds (4) Book-entry transfer for investment trusts Major Businesses (5) DVP settlement services for NETDs (6) Pre-settlement matching system (7) Custody services for foreign stocks, etc. (8) Other businesses Operational Office Tokyo Consolidated Subsidiary JASDEC DVP Clearing Corporation (Chuo-ku, Tokyo) 62 Number of Employees 222 Annual Report 2012 Board Members and Auditors (As of June 29, 2012) Chairman Director Director Yoshinobu Takeuchi Ritsuro Koza Masayuki Hoshi Senior Managing Director, Managing Executive Officer, President & CEO Nomura Securities Co., Ltd. Mizuho Corporate Bank, Ltd. Haruhiko Kato Director Director Masahiko Koyanagi Shigeyuki Maeda Managing Director Executive Director, Professor of Law, Seikichi Ihara Japan Securities Dealers Association Professional School of Law (Law school), Gakushuin University Managing Director Director Yoshinori Seyama Yasushi Tachihara Director Executive Officer, Kanetsugu Mike Managing Director SMBC Nikko Securities Inc. Managing Director, Chief Executive, Information Systems & Operations Munetaka Saito Director The Bank of Tokyo-Mitsubishi UFJ, Ltd. Director Ayumi Tomoda Director Operations Head, Moriyuki Iwanaga Citigroup Global Markets Japan Inc. Kaoru Wachi Executive Officer, Deputy President, Tokyo Stock Exchange, Inc. Director Mitsubishi UFJ Trust and Banking Corporation Director Masahisa Nakagawa Standing Auditor Senior Managing Director, Akira Uchida Daiwa Securities Co. Ltd. Hiroshi Kitta Senior Vice President (Member of the Board) Toray Industries, Inc.
    [Show full text]
  • Corporate Data / Share Information / Total Shareholder Return / Credit Ratings Nomura Report 2020 About Nomura About Nomura About
    Corporate Data / Share Information / Total Shareholder Return / Credit Ratings Nomura Report 2020 About Nomura About Nomura About Nomura Corporate Data Company name Nomura Holdings, Inc. Total Shareholder Holding Period*2 1 year 2 years 3 years 4 years 5 years Date of incorporation December 25, 1925 Return (TSR*1) Nomura Holdings 73.1% 102.6% 94.6% 65.0% 76.0% Head office 1-9-1, Nihonbashi, Chuo-ku, Tokyo 103-8645, Japan 001 001 Paid-in capital ¥594,493 million TOPIX 89.2% 102.3% 118.5% 112.5% 101.8% Strategies for Value Creation Strategies for Value Creation Group employees 26,629 *1 Ratio obtained by dividing investment amount (stock price) by return (dividend and capital gains). Common stock issued 3,493,562,601 shares Calculated based on Cabinet Office Order on Disclosure of Corporate Affairs *2 Figures based on the last price of March 31, 2015 Number of shareholders 349,668 (Unit shareholders:326,975) The common shares of Nomura Holdings, Inc. are listed Nomura Securities Nomura Holdings on the Tokyo, Nagoya, and Singapore stock exchanges. Credit Ratings The shares are also listed on the NYSE in the form of Listing (As of June 30, 2020) Long-term Short-term Long-term Short-term American Depositary Shares (ADSs) evidenced by American Depositary Receipts (ADRs). Each ADS represents one share of common stock. R&I A+ a-1 A+ a-1 005 005 8604 Securities code JCR AA- - AA- - (Tokyo Stock Exchange), NMR (New York Stock Exchange) Strengths Supporting Value Creation Creation Supporting Value Strengths Creation Supporting Value Strengths Mitsubishi UFJ Trust and Banking Corporation Transfer agent and registrar Moody's A3 P-2 Baa1 - Corporate Agency Department Depositary for American The Bank of New York Mellon Depositary Receipts (ADRs) Standard & Poor's A- A-2 BBB+ A-2 Date of record for dividend September 30, March 31 payments Fitch Ratings A- F1 A- F1 Major shareholders (Top 10)*1 Share Information Number of Owenership Name of shareholder shares owned 2 (As of March 31, 2020) 2 (%)* (thousands)* The Master Trust Bank of Japan, Ltd.
    [Show full text]
  • Interfaces & Partners
    Interfaces & Partners Data Bloomberg B-Pipe ITG Logic Bloomberg Data License Markit Group Limited Bloomberg Desktop API Proquote Bloomberg Server API Quick Charles River Data Service – Reference Telemet Orion Charles River Data Service – Real-Time The Yield Book Inc. Charles River Data Service – Benchmarks Thomson Reuters DataScope Select AP Pre-Trade Analytics Barclays The Yield Book Inc. ITG Thomson Reuters Jefferies/Quantitative Execution Strategies (QES) UBS SJ Levinson & Sons Accounting Systems Advent APX Princeton ePAM Advent Axys Princeton Financial Systems/PAM, ePAM Advent Geneva Princeton PAM Citi Accounting Princeton PFI DST GPS SS&C Camra DST InfoQuest SS&C Pacer Eagle Investment Systems/Eagle STAR Thomson Reuters PORTIA IDS GIM 2 Wall Street Office Metavante Equity Algo Trading Abel/Noser (US) Credit Suisse (Global) Aqua Securities, L.P (US) Daiwa Capital Securities Markets Co. Ltd (APAC) Auerbach Grayson (Global) Dash Financial (US) Barclay’s Capital (Global) Deutsche Bank (Global) BestEx Pty Ltd DnB NOR Bank ASA (EU,UK) BMO Capital Markets Corp Drexel Hamilton LLC BMO Nesbitt Burns DZ BANK AG (EU) BNP Paribas (Global) Exane (US,EU,UK) BTIG, LLC (US) Execution Ltd (UK) Canaccord Capital (Global) Fidelity Capital Markets (US) CIBC World Markets (US, CAN) FOX River Execution (US) CIMB Securities (Singapore) Pte Ltd (Global) Goldman Sachs (Global) Citigroup (Global) Guggenheim Securities LLC (US) Clearpool, Group (US) HSBC (Global) CLSA Limited (Global) Instinet (Global) Commonwealth Securities, Ltd (Global) ISI Group (US) ConvergEx Execution Solutions (US) ITG Inc. (Global) Cowen & Company, LLC. (US) Jefferies & Company (US) 1 Interfaces & Partners Equity Algo Trading (cont’d) JP Morgan (Global) Quantitative Brokers, LLC (US) Knight Securities (US) Raymond James (US) Leerink Swann & Co.
    [Show full text]