13F-HR/A: Nomura Holdings Amends 13F Filing to Include Omitted Convertible Note Positions

Nomura Holdings filed an amendment to its 13F report for Q4 2023 to include previously omitted positions in convertible notes.

Summary

• Nomura Holdings Inc. filed an amended 13F report for the quarter ended December 31, 2023.
• The amendment, numbered 2, adds new holdings entries that were inadvertently omitted from the original filing.
• The report includes holdings from Nomura Holdings Inc. and three other included managers.
• The total value of the holdings reported in the information table is $9,176,404.
• The filing lists several convertible note positions, including Cutera Inc., Health Catalyst Inc., Liberty Media Corp, Lithium Americas Argentina Corp, and LivePerson Inc.

Sentiment

Score: 6

Explanation: The sentiment is neutral. It's a regulatory filing amendment, indicating a correction of previously omitted information. While the omission itself isn't positive, the correction demonstrates compliance.

Negatives

• The need for an amendment suggests an initial oversight in the reporting process.

Industry Context

13F filings are a standard requirement for institutional investment managers, providing transparency into their holdings and investment strategies. Amendments are not uncommon and can occur for various reasons, including the correction of errors or omissions.

Stakeholder Impact

• The amendment provides more complete information to stakeholders regarding Nomura Holdings' investment positions.

Key Dates