NOMURA ASSET MANAGEMENT COMPANY LTD

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Nomura Asset Management Company LTD is based out of Tokyo. Nomura Asset Management Company LTD is a hedge fund with 2196 clients and discretionary assets under management (AUM) of $598,857,069,544 (Form ADV from 2021-08-05). Their last reported 13F filing for Q2 2021 included $17,269,144,000 in managed 13F securities and a top 10 holdings concentration of 22.04%. Nomura Asset Management Company LTD's largest holding is Microsoft Corp. with shares held of 2,952,384. Whalewisdom has at least 108 13F filings, and 35 13G filings

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06/30/2021

13F Activity

  • Market Value $17.269 Billion
  • Prior Market Value $15.69 Billion
  • New Purchases45 stocks
  • Additional Purchases526 stocks
  • Sold out of24 stocks
  • Reduced holdings in304 stocks
  • Top 10 Holdings % 22.04 %
  • Turnover % [1]:5.52%
  • Turnover Alt % [2]: 4.32 %
  • Time Held Top20:13.40 quarters
  • Time Held Top10:13.90 quarters
  • Time Held All:39.11 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 6.26%
Performance Last 4 Quarters: 13.02%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

NOMURA ASSET MANAGEMENT CO., LTD.
Classified as Hedge Fund
TOYOSU BAYSIDE CROSS TOWER 2-2-1, TOYOSU, KOTO-KU
TOKYO    135-0061
Country: Japan

Business Phone: 81 (3) 6387-4066
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Principal Office Outside the US,Investment advisor to an investment company
Form of Organization: Corporation
Organized in:
Number of employees: 828
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 2196
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2021-06-28
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
NAKAGAWA, JUNKO DIRECTOR, CHAIRPERSON 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
WATANABE, AKIHIRO DIRECTOR, SENIOR CORPORATE MANAGING DIRECTOR 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
SUZUKI, TAKAYUKI OUTSIDE DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2019-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2019-04-01
YAMAMOTO, SEIICHIRO OUTSIDE DIRECTOR, CHAIRPERSON OF THE BOARD OF DIRECTORS 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR, CHAIRPERSON OF THE BOARD OF DIRECTORS direct 2021-04-01
KOIKE, HIROYASU DIRECTOR, PRESIDENT & CEO 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR, PRESIDENT & CEO direct 2021-04-01
KISHIDA, YOSHIFUMI DIRECTOR 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2021-04-01
MOCHIZUKI, HIROYUKI CHIEF COMPLIANCE OFFICER 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. CHIEF COMPLIANCE OFFICER direct 2021-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 14,698,760 5,000,000 Fund of Funds

NOMURA ASSET MANAGEMENT U.K. LIMITED

ownership team - last updated 2021-06-25
Name Title Start Date Direct/Indirect % Ownership
NOMURA ASSET MANAGEMENT CO., LTD. SOLE STOCKHOLDER 10/01/1984 Direct 75% or more
Scott, Peter, Joseph CHIEF ADMINISTRATIVE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER direct 2017-04-01
Nash, Justin CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF COMPLIANCE OFFICER direct 2017-09-01
BECKERS, CONSTANT, E.M. CHAIRMAN AND NON EXECUTIVE DIRECTIVE 07/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING INVESTMENT MANAGEMENT ADVISORS B V CHIEF EXECUTIVE OFFICER direct 2013-07-01
NN INVESTMENT PARTNERS NORTH AMERICA LLC CHIEF EXECUTIVE OFFICER direct 2013-07-01
chan, vivian CHIEF FINANCIAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF FINANCIAL OFFICER direct 2020-03-01
HIRAMATSU, GO CHIEF EXECUTIVE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2010-04-01
WATANABE, AKIHIRO NON EXECUTIVE DIRECTOR 04/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2020-08-27
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
HAYAKAWA, KIMIZO OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2016-04-01
OGAWA, SHOJI DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2017-04-01
NAKAGAWA, JUNKO DIRECTOR, PRESIDENT & CEO 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
YANAI, TAKEHISA OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
OTSUKA, TORU DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2018-04-01
WATANABE, AKIHIRO CHIEF COMPLIANCE OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
OZAKI, TETSU OUTSIDE DIRECTOR, CHAIRMEN OF THE BOARD OF DIRECTORS 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2005-04-01
SUZUKI, TAKAYUKI OUTSIDE DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2019-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2019-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 18,907,715 5,000,000 Fund of Funds

NOMURA ASSET MANAGEMENT U.K. LIMITED

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
NOMURA ASSET MANAGEMENT CO., LTD. SOLE STOCKHOLDER 10/01/1984 Direct 75% or more
NUNNELEY, LUKE, JAMES CHARLES CHAIRMAN AND NON-EXECUTIVE DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTLB ASSET MANAGEMENT (US) LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER direct 2005-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR direct 2010-11-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHAIRMAN AND NON-EXECUTIVE DIRECTOR direct 2013-06-01
Scott, Peter, Joseph CHIEF ADMINISTRATIVE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER direct 2017-04-01
Nash, Justin CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF COMPLIANCE OFFICER direct 2017-09-01
tanebe, minoru NON EXECUTIVE DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED NON EXECUTIVE DIRECTOR direct 2018-08-01
BECKERS, CONSTANT, E.M. NON EXECUTIVE DIRECTIVE 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
ING INVESTMENT MANAGEMENT ADVISORS B V CHIEF EXECUTIVE OFFICER direct 2013-07-01
NN INVESTMENT PARTNERS NORTH AMERICA LLC CHIEF EXECUTIVE OFFICER direct 2013-07-01
chan, vivian CHIEF FINANCIAL OFFICER 03/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF FINANCIAL OFFICER direct 2020-03-01
HIRAMATSU, GO CHIEF EXECUTIVE OFFICER 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2010-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2020-06-26
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
HAYAKAWA, KIMIZO OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2016-04-01
OGAWA, SHOJI DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2017-04-01
NAKAGAWA, JUNKO DIRECTOR, PRESIDENT & CEO 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
YANAI, TAKEHISA OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
OTSUKA, TORU DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2018-04-01
WATANABE, AKIHIRO CHIEF COMPLIANCE OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
OZAKI, TETSU OUTSIDE DIRECTOR, CHAIRMEN OF THE BOARD OF DIRECTORS 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2005-04-01
SUZUKI, TAKAYUKI OUTSIDE DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2019-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2019-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 18,907,715 5,000,000 Fund of Funds

NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2019-07-01
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
TSUDA, MASANAO EXECUTIVE VICE PRESIDENT 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2011-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2011-04-01
HAYAKAWA, KIMIZO OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2016-04-01
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
OGAWA, SHOJI DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2017-04-01
NAKAGAWA, JUNKO PRESIDENT & CEO, DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
YANAI, TAKEHISA OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
ARA, YUKIMITSU SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
OTSUKA, TORU DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2018-04-01
WATANABE, AKIHIRO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
TANABE, MINORU SENIOR CORPORATE MANAGING DIRECTOR & HEAD OF CORPORATE PLANNING AND ADMINISTRATION DIVISION 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2012-04-01
OZAKI, TETSU CHAIRMEN OF THE BOARD OF DIRECTORS, OUTSIDE DIRECTOR 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2005-04-01
SUZUKI, TAKAYUKI OUTSIDE DIRECTOR 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2019-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2019-04-01
kurisaki, Osamu SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2019-04-01
MIURA, EIJI SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2016-04-01
YOKOTA, YASUHIRO SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
ITABASHI, YUTAKA SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.S.A. INC BOARD OF DIRECTOR direct 2013-09-01
NOMURA ASSET MANAGEMENT U.S.A. INC PRESIDENT, CEO AND DIRECTOR direct 2013-11-01
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC BOARD OF DIRECTOR MEMBER direct 2017-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
NOMURA GLOBAL ALPHA LLC PRESIDENT direct 2013-11-01
numata, kaoru SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2019-04-01
UMEMORI, MASAHIRO SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2002-04-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2005-08-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
OGIHARA, WATARU SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
CHIDA, SATOSHI SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
HONMA, TAKAHIRO SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 32,129,557 5,000,000 Fund of Funds

NOMURA ASSET MANAGEMENT U.K. LIMITED

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
NOMURA ASSET MANAGEMENT CO., LTD. SOLE STOCKHOLDER 10/01/1984 Direct 75% or more
NUNNELEY, LUKE, JAMES CHARLES CHAIRMAN AND NON-EXECUTIVE DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTLB ASSET MANAGEMENT (US) LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER direct 2005-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR direct 2010-11-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHAIRMAN AND NON-EXECUTIVE DIRECTOR direct 2013-06-01
Scott, Peter, Joseph CHIEF ADMINISTRATIVE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER direct 2017-04-01
Nash, Justin CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF COMPLIANCE OFFICER direct 2017-09-01
YOKOTA, YASUHIRO NON EXECUTIVE DIRECTOR 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
tanebe, minoru NON EXECUTIVE DIRECTOR 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED NON EXECUTIVE DIRECTOR direct 2018-08-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
TSUDA, MASANAO EXECUTIVE VICE PRESIDENT 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2011-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2011-04-01
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
HAYAKAWA, KIMIZO OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2016-04-01
OGAWA, SHOJI DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2017-04-01
NAKAGAWA, JUNKO PRESIDENT & CEO, DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
YANAI, TAKEHISA OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
ARA, YUKIMITSU SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
OTSUKA, TORU DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2018-04-01
WATANABE, AKIHIRO CHIEF COMPLIANCE OFFICER, SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
TANABE, MINORU SENIOR CORPORATE MANAGING DIRECTOR & HEAD OF CORPORATE PLANNING AND ADMINISTRATION DIVISION 04/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2012-04-01
OZAKI, TETSU CHAIRMEN OF THE BOARD OF DIRECTORS, OUTSIDE DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2005-04-01
SUZUKI, TAKAYUKI OUTSIDE DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2019-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2019-04-01
kurisaki, Osamu SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2019-04-01
MIURA, EIJI SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2016-04-01
YOKOTA, YASUHIRO SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
ITABASHI, YUTAKA SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.S.A. INC BOARD OF DIRECTOR direct 2013-09-01
NOMURA ASSET MANAGEMENT U.S.A. INC PRESIDENT, CEO AND DIRECTOR direct 2013-11-01
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC BOARD OF DIRECTOR MEMBER direct 2017-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
NOMURA GLOBAL ALPHA LLC PRESIDENT direct 2013-11-01
numata, kaoru SENIOR CORPORATE MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2019-04-01
UMEMORI, MASAHIRO SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2002-04-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2005-08-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
OGIHARA, WATARU SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
CHIDA, SATOSHI SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
HONMA, TAKAHIRO SENIOR MANAGING DIRECTOR 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2019-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 32,129,557 5,000,000 Fund of Funds

NOMURA ASSET MANAGEMENT U.K. LIMITED

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
BISSON, RICHARD, J CHIEF EXECUTIVE OFFICER, DIRECTOR 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF EXECUTIVE OFFICER, DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR direct 1997-10-01 2004-05-24
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR & SENIOR EXECUTIVE OFFICER direct 2004-04-01 2012-03-30
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR, PRESIDENT & CHIEF OPERATING OFFICER direct 2012-04-01 2013-03-14
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR & PRESIDENT direct 2013-04-01 2015-06-26
NOMURA ASSET MANAGEMENT CO., LTD. SOLE STOCKHOLDER 10/01/1984 Direct 75% or more
NUNNELEY, LUKE, JAMES CHARLES CHAIRMAN AND NON-EXECUTIVE DIRECTOR 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WESTLB ASSET MANAGEMENT (US) LLC MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER/NON-OWNER direct 2005-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED DIRECTOR direct 2010-11-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHAIRMAN AND NON-EXECUTIVE DIRECTOR direct 2013-06-01
SAITO, ATSUSHI NON-EXECUTIVE DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED EXECUTIVE OFFICER direct 2009-01-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER & EXECUTIVE OFFICER direct 2010-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER & EXECUTIVE OFFICER direct 2010-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER & EXECUTIVE OFFICER direct 2012-04-01
NOMURA ASSET MANAGEMENT U.K. LIMITED NON-EXECUTIVE DIRECTOR direct 2016-01-01
Kohli, Jasjot, Singh CHIEF FINANCIAL OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF FINANCIAL OFFICER direct 2017-04-01
Scott, Peter, Joseph CHIEF ADMINISTRATIVE OFFICER 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF ADMINISTRATIVE OFFICER direct 2017-04-01
Nash, Justin CHIEF COMPLIANCE OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.K. LIMITED CHIEF COMPLIANCE OFFICER direct 2017-09-01
YOKOTA, YASUHIRO NON EXECUTIVE DIRECTOR 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

NOMURA ASSET MANAGEMENT CO., LTD.

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER 12/01/1959 Direct 75% or more
WATANABE, KUNIO DIRECTOR, PRESIDENT & CEO 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2009-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. PRESIDENT & CEO direct 2014-04-01
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR, PRESIDENT & CEO direct 2014-04-01
TSUDA, MASANAO SENIOR CORPORATE MANAGING DIRECTOR 04/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2011-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2011-04-01
SHIMIZU, HIDEKI EXECUTIVE VICE PRESIDENT 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2014-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE MANAGING DIRECTOR, EXECUTIVE VICE PRESIDENT direct 2014-04-01
MIURA, KOKI EXECUTIVE VICE PRESIDENT 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR CORPORATE MANAGING DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE SENIOR CORPORATE MANAGING DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
MASUDA, KAZUAKI CHIEF COMPLIANCE OFFICER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. CHIEF COMPLIANCE OFFICER direct 2013-04-01
KOBAYASHI, MUTSUO SENIOR MANAGING DIRECTOR 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
UMEMORI, MASAHIRO SENIOR MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2002-04-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2005-08-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
ITABASHI, YUTAKA SENIOR MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT U.S.A. INC BOARD OF DIRECTOR direct 2013-09-01
NOMURA ASSET MANAGEMENT U.S.A. INC PRESIDENT, CEO AND DIRECTOR direct 2013-11-01
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC BOARD OF DIRECTOR MEMBER direct 2017-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
NOMURA GLOBAL ALPHA LLC PRESIDENT direct 2013-11-01
ISHIDA, MAMORU SENIOR MANAGING DIRECTOR 04/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2015-04-01
NAGAHAMA, RIKIO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
DLIBJ ASSET MANAGEMENT CO LTD PRESIDENT direct 2004-06-01
KIMURA, AKIKO OUTSIDE DIRECTOR 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2015-06-01
Matsutani, Hiroshi CHAIRMAN OF THE BOARD OF DIRECTORS, OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. CHAIRMAN OF THE BOARD OF DIRECTORS, OUTSIDE DIRECTOR direct 2016-04-01
MIYASHITA, HISATO DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2016-04-01
HAYAKAWA, KIMIZO OUTSIDE DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2016-04-01
ITO, YUJI SENIOR MANAGING DIRECTOR 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2016-04-01
OGAWA, SHOJI DIRECTOR 04/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2017-04-01
NAKAGAWA, JUNKO EXECUTIVE VICE PRESIDENT 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-04-01
NOMURA ASSET MANAGEMENT CO., LTD. EXECUTIVE VICE PRESIDENT direct 2013-06-01
YANAI, TAKEHISA OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
ARA, YUKIMITSU OUTSIDE DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. OUTSIDE DIRECTOR direct 2018-04-01
OTSUKA, TORU DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. DIRECTOR direct 2018-04-01
YOKOTA, YASUHIRO SENIOR CORPORATE MANAGING DIRECTOR 04/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT HONG KONG LIMITED PRESIDENT & MANAGING DIRECTOR direct 2005-07-01
NOMURA ASSET MANAGEMENT HONG KONG LIMITED DIRECTOR direct 2007-12-01
NOMURA ASSET MANAGEMENT SINGAPORE LIMITED MANAGING DIRECTOR direct 2012-04-01
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2014-04-01
OGIHARA, TSUTOMU SENIOR MANAGING DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
WATANABE, AKIHIRO SENIOR MANAGING DIRECTOR 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOMURA ASSET MANAGEMENT CO., LTD. SENIOR MANAGING DIRECTOR direct 2018-04-01
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) STOCKHOLDER NOMURA ASSET MANAGEMENT CO., LTD. 12/01/1959 Indirect 75% or more

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOMURA GLOBAL REAL ASSET FUND OF FUNDS, L.P. United States 805-2304950097 Hedge Fund 31,193,180 5,000,000 Fund of Funds

**EXPERIMENTAL** Current International Short Positions

Only includes UK, France, Germany, Japan, and HKEX are presently being processed.

Holder Issuer Net Short Position Position Date Origin

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.4500000000000002% 2019-06-28 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.22% 2019-06-26 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.51% 2019-06-10 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.24% 2019-05-28 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.18% 2019-05-27 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 1.08% 2019-05-24 Japan
Nomura Asset Management Singapore Limited Acrodea,Inc. 0.73% 2019-05-17 Japan
Nomura Asset Management Singapore Limited Advantage Risk Management Co.,Ltd. 0.48% 2017-08-15 Japan
Nomura Asset Management Singapore Limited Advantage Risk Management Co.,Ltd. 0.52% 2017-07-31 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.49% 2017-10-25 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.58% 2017-10-23 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.69% 2017-10-06 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.89% 2017-08-18 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.9900000000000001% 2017-08-14 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.1199999999999999% 2017-06-30 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.04% 2017-05-29 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.9900000000000001% 2016-12-29 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.06% 2016-12-06 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.18% 2016-11-04 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.49% 2016-07-19 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.24% 2016-07-19 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.3% 2016-07-13 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.5% 2016-06-07 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.2% 2016-06-01 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.1199999999999999% 2016-05-24 Japan
Nomura Asset Management Singapore Limited Adways Inc. 1.0% 2016-04-22 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.8999999999999999% 2016-04-19 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.8% 2016-04-01 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.62% 2016-03-23 Japan
Nomura Asset Management Singapore Limited Adways Inc. 0.53% 2016-03-17 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.48% 2017-05-19 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.53% 2017-05-16 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.63% 2017-05-12 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 1.02% 2017-04-26 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.9299999999999999% 2017-04-21 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.72% 2017-04-11 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.62% 2017-04-10 Japan
Nomura Asset Management Singapore Limited Aeria Inc. 0.52% 2017-04-07 Japan
Nomura Asset Management Singapore Limited ALLIED TELESIS HOLDINGS K.K. 0.48% 2018-05-14 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.89% 2021-09-09 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.88% 2021-09-07 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.09% 2021-06-22 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.17% 2021-06-10 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.34% 2021-06-09 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.46% 2021-06-04 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.6500000000000001% 2021-05-17 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.79% 2021-04-30 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.81% 2021-04-28 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.09% 2021-04-05 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.9900000000000002% 2021-03-24 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.0999999999999999% 2021-03-24 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.0% 2021-03-23 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.76% 2021-03-22 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.98% 2021-03-22 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.5699999999999998% 2021-03-18 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.8% 2021-03-18 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.4200000000000002% 2021-03-16 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.65% 2021-03-16 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 1.08% 2021-03-10 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.88% 2021-02-22 Japan
Nomura Asset Management Singapore Limited Asaka Riken Co.,Ltd. 0.79% 2021-02-08 Japan
Nomura Asset Management Singapore Limited BALMUDA Inc. 0.7000000000000001% 2021-05-27 Japan
Nomura Asset Management Singapore Limited BALMUDA Inc. 0.52% 2021-03-09 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.49% 2017-12-26 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.44% 2017-12-26 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.63% 2017-12-22 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.5599999999999999% 2017-12-22 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.89% 2017-12-20 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.7799999999999999% 2017-12-20 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.95% 2017-12-18 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.84% 2017-12-18 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.02% 2017-12-15 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.08% 2017-12-12 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.35% 2017-12-06 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.21% 2017-12-05 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.44% 2017-12-04 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.17% 2017-12-04 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.3% 2017-12-01 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 1.02% 2017-11-29 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.83% 2017-11-29 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.97% 2017-11-10 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.62% 2017-11-07 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.5% 2017-11-07 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.5% 2017-09-20 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.44999999999999996% 2017-09-05 Japan
Nomura Asset Management Singapore Limited BeMap,Inc. 0.5% 2017-08-10 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.8200000000000001% 2021-07-19 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.8% 2021-06-29 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.7000000000000001% 2021-06-21 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.7100000000000001% 2021-06-21 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.52% 2021-05-14 Japan
Nomura Asset Management Singapore Limited Bit One Group Co.,Ltd. 0.5% 2021-05-10 Japan
Nomura Asset Management Singapore Limited CareerIndex Inc. 0.49% 2020-12-21 Japan
Nomura Asset Management Singapore Limited CareerIndex Inc. 0.64% 2020-11-30 Japan
Nomura Asset Management Singapore Limited CareerIndex Inc. 0.5% 2020-11-27 Japan
Nomura Asset Management Singapore Limited CAREERLINK CO.,LTD. 0.47000000000000003% 2021-07-29 Japan
Nomura Asset Management Singapore Limited CAREERLINK CO.,LTD. 0.5700000000000001% 2021-07-21 Japan
Nomura Asset Management Singapore Limited CAREERLINK CO.,LTD. 0.69% 2021-07-14 Japan
Nomura Asset Management Singapore Limited CAREERLINK CO.,LTD. 0.72% 2021-07-13 Japan
Nomura Asset Management Singapore Limited CAREERLINK CO.,LTD. 0.84% 2021-07-12 Japan

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