organization · Reporting owner

NOMURA SECURITIES INTERNATIONAL, INC.

Disclosed activity across 1 company

Tapewire entity: 181146
SEC CIK: 0000072267

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

TETRALOGIC PHARMACEUTICALS Corp

Report date November 14, 2016 · Filed November 14, 2016

Jointly reported with NOMURA HOLDINGS INC

Section 16 reporting ended · disclosed 2016-11-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
8% Convertible Notes due 2019SEC Table II · derivative / convertible security	Direct	0	Reported balance After 2016-11-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2016-11-14 · Other · Disposed Not disclosed · Balance 0 F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI.
Preferred StockSEC Table II · derivative / convertible security	Direct	892,850	Reported balance After 2016-11-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2016-11-14 · Other · Acquired 892,850 · Balance 892,850 F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI.
8% Convertible Notes due 2024SEC Table II · derivative / convertible security · Expires 2024-06-15	Direct	Not disclosed	Reported balance After 2016-11-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-11-14 · Other · Acquired Not disclosed · Balance Not disclosed F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI.

Filing footnotes · ownership attribution and instrument terms

F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes").

F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock.

F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock.

F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events.

F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes.

F6: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
November 14, 2016 Filed Nov 14, 2016 21:43 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	Other8% Convertible Notes due 2024 · Derivative	Not disclosed	Not disclosed	$3,035,287.00	Disclosure SEC source: 0001104659-16-157087 · a4.xml · derivative · entry 3 NOMURA SECURITIES INTERNATIONAL, INC. · CIK 0000072267 · See Remarks NOMURA HOLDINGS INC · CIK 0001163653 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 450,138 shares Expires 2024-06-15 F4 · derivative.exercise_price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F4 · price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5 · derivative.exercise_date: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6 · ownership.direct: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI. Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:43 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	OtherPreferred Stock · Derivative	892,850	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-16-157087 · a4.xml · derivative · entry 2 NOMURA SECURITIES INTERNATIONAL, INC. · CIK 0000072267 · See Remarks NOMURA HOLDINGS INC · CIK 0001163653 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 892,850 Underlying: Common Stock · 892,850 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F2 · price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3 · derivative.exercise_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F3 · derivative.expiration_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6 · ownership.direct: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI. Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:43 UTC	TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646	Other8% Convertible Notes due 2019 · Derivative	Not disclosed	Not disclosed	$3,196,000.00	Disclosure SEC source: 0001104659-16-157087 · a4.xml · derivative · entry 1 NOMURA SECURITIES INTERNATIONAL, INC. · CIK 0000072267 · See Remarks NOMURA HOLDINGS INC · CIK 0001163653 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.exercise_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.expiration_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.underlying_shares: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $160,173 in aggregate principal amount of the Senior Notes for 892,850 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $3,035,287 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6 · ownership.direct: These derivative securities are owned directly by Nomura Securities International, Inc. ("NSI"), which is a wholly owned subsidiary of Nomura Holdings, Inc. ("NH"), and accordingly NH may be deemed to beneficially own the derivative securities held by NSI. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.