Number: 333-149382

 

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

POST-EFFECTIVE AMENDMENT NO. 3 TO FORM F-6

REGISTRATION STATEMENT

Under

THE SECURITIES ACT OF 1933

For American Depositary Shares Evidenced by American Depositary Receipts

 

 

 

Nomura Research Institute, Ltd.

(Exact name of Issuer of deposited securities as specified in its charter)

 

Japan

(Jurisdiction of Incorporation or organization of Issuer)

 

 

 

DEUTSCHE BANK TRUST COMPANY AMERICAS

(Exact name of depositary as specified in its charter)

 

60 Wall Street, New York, New York 10005

Tel. No.: (212) 250-9100

(Address, including zip code, and telephone number of depositary's principal offices)

 

 

 

DEUTSCHE BANK TRUST COMPANY AMERICAS

60 Wall Street

New York, New York 10005 (212) 250-9100

(Address, including zip code, and telephone number of agent for service)

 

 

 

Copy to:

DEUTSCHE BANK TRUST COMPANY AMERICAS

60 Wall Street

New York, New York 10005

 

It is proposed that this filing become effective under Rule 466

x immediately upon filing                ¨ on ___at ___a.m. (EST)

 

If a separate registration statement has been filed to register the deposited shares, check the following box. ¨

 

CALCULATION OF REGISTRATION FEE

 

Title of Each Class of Securities
to be Registered 		Amount to be
Registered 		Proposed
Maximum
Offering Price
Per Unit 		Proposed
Maximum
Aggregate
Offering Price 		Amount of
Registration Fee
American Depositary Shares evidenced by American Depositary Receipts, each American Depositary Share representing one (1) share of common stock of Nomura Research Institute, Ltd. N/A N/A N/A N/A

 

This Post-Effective Amendment No. 3 is being filed solely to effect a ratio change in the class of securities to be registered. In order to effect this change, this Post-Effective Amendment No. 3 is being filed to amend and restate the Agreement between Deutsche Bank Trust Company Americas, as depositary (the "Depositary") and all holders from time to time of American Depositary Receipts evidencing American Depositary Shares that is contained in the form of the American Depositary Receipt itself (constituting the Prospectus). The existing Prospectus is being replaced in its entirety by the Prospectus filed with this Post-Effective Amendment No. 3 and the amended and restated terms thereof are applicable to all currently outstanding and hereafter issued American Depositary Shares.

 

 

 

 

 

 

PART I

 

INFORMATION REQUIRED IN PROSPECTUS

 

Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED

 

Required Information   Location in Form of Receipt Filed Herewith as
Prospectus
     
1.     Name of depositary and address of its principal executive office   Face of Receipt – introductory paragraph
     
2.     Title of Receipts and identity of deposited securities   Face of Receipt – top center
     
Terms of Deposit:    
     
(i)          The amount of deposited securities represented by one American Depositary Share (“ADS”)   Face of Receipt – upper right corner
     
(ii)         The procedure for voting the deposited securities   Reverse of Receipt – Articles 11 and 13
     
(iii)        The procedure for collecting and distributing dividends   Reverse of Receipt – Articles 12 and 18
     
(iv)        The procedures for transmitting notices, reports and proxy soliciting material   Reverse of Receipt – Articles 11 and 15
     
(v)         The sale or exercise of rights   Reverse of Receipt – Articles 12 and 13
     
(vi)        The deposit or sale of securities resulting from dividends, splits or plans of reorganization   Reverse of Receipt – Articles 12 and 15
     
(vii)       Amendment, extension or termination of the deposit arrangements   Reverse of Receipt – Articles 17 and 18 (no provision for extension)
     
(viii)      The rights of holders of Receipts to inspect the books of the depositary and the list of holders of Receipts   Face of Receipt – Article 3
     
(ix)         Restrictions upon the right to transfer or withdraw the underlying securities   Face of Receipt – Article 1, 2, 4 and 6;
Reverse of Receipt – Articles 14, 15 and 18
     
(x)         Limitation on the depositary’s liability   Face of Receipt – Article 1, 2, 4 and 7;
Reverse of Receipt – Articles 11, 12, 14, 15, 16, 18 and 21
     
3.     Fees and charges that a holder of Receipts may have to pay, either directly or indirectly   Reverse of Receipt – Article 19

 

 

 

 

Item 2.  AVAILABLE INFORMATION    

 

Required Information   Location in Form of Receipt Filed Herewith as
Prospectus
     
(a)          Statement that as of the date of the establishment of the program for issuance of Receipts by the Depositary, the Depositary has a good faith belief (after limited investigation), that the issuer of the Deposited Securities publishes information in English required to maintain the exemption from registration under Rules 12g3-2(b) under the Securities Exchange Act of 1934 on its internet website or through an electronic information delivery system generally available to the public in its primary trading market.   Face of Receipt – Article 8

 

 

 

 

Prospectus

 

THIS PAGE AND THE FORM OF AMERICAN DEPOSITARY RECEIPT ATTACHED HERETO AS EXHIBIT (A) CONSTITUTE THE PROSPECTUS RELATING TO SUCH AMERICAN DEPOSITARY RECEIPTS, IN ACCORDANCE WITH GENERAL INSTRUCTION III.B OF FORM F-6 OF THE SECURITIES AND EXCHANGE COMMISSION

 

 

 

 

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 3. EXHIBITS

 

(a)        Copy of Agreement - The Agreement between the Depositary and all holders from time to time of American Depositary Receipts evidencing American Depositary Shares registered hereunder is contained in the form of the American Depositary Receipt itself, constituting the Prospectus filed as a part of this Registration Statement.

 

(b)        Any other agreement, to which the Depositary is a party, relating to the issuance of the Depositary Shares registered hereby or custody of the deposited securities represented thereby. - None.

 

(c)        Any material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. - None.

 

(d)        Opinion of counsel to the Depositary as to the legality of the securities to be registered. Previously filed.

 

(e)        Certification under Rule 466.

 

Item 4. UNDERTAKINGS

 

(a)        The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the Receipts, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities; and (2) made generally available to the holders of the underlying securities by the issuer.

 

(b)        If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of a Receipt thirty days before any change in the fee schedule.

 

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Deutsche Bank Trust Company Americas, on behalf of the legal entity created by the agreement for the issuance of American Depositary Shares, certifies that it has reasonable grounds to believe that all of the requirements for filing on Form F-6 are met and has duly caused this Post-Effective Amendment No. 3 to Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, as of July 8, 2019.

 

  Legal entity created by the agreement for the issuance of American Depositary Receipts evidencing American Depositary Shares of the foreign private issuer whose name is set forth on the facing page of this Amendment No. 3 to the Registration Statement on Form F-6

 

  By: DEUTSCHE BANK TRUST COMPANY AMERICAS, Depositary

 

  By: /s/ Michael Fitzpatrick
    Name: Michael Fitzpatrick
    Title: Vice President

 

  By:

/s/ Beverly George-Prowell

    Name: Beverly George-Prowell
    Title: Vice President

 

 

 

 

INDEX TO EXHIBITS

 

Exhibit    
Number    
(a)   Form of ADR
(e)   Rule 466 Certification

 

 

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