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Mitsubishi UFJ Financial Group director Yasuda Takayuki reports initial equity holdings, including common stock and stock compensation plan points. The filing shows direct ownership of 130,200 shares of common stock. In addition, he holds 28,719 non-adjustable points and 6,079 annual performance-based points under the issuer's stock compensation plan, each generally exchangeable one-for-one into common shares under specified conditions.
The non-adjustable points become exchangeable for common stock after he retires from the role tied to the grant, with shares held in a board incentive plan trust until delivery. Upon delivery, 50% of those shares will be sold by the trust through pre-arranged open market sales in Japan, and the cash proceeds plus the remaining 50% in shares will be delivered to him.
The annual performance-based points were granted on June 1, 2025, based on performance from July 2024 to June 2025, and are exchangeable into common shares after the issuer's current three-year medium-term business plan ends on March 31, 2027, with similar trust arrangements and scheduled sales on the tenth business day in June 2027. The notes also describe potential additional annual and medium-term performance-based points, subject to 0%–150% adjustment and the same exchange and delivery framework.
Mitsubishi UFJ Financial Group director Hiroshi Kubota reports direct ownership of 53,364 shares of common stock and several categories of stock compensation plan points that are linked to future delivery of common shares.
The non-adjustable points and annual performance-based points are generally exchangeable for common stock on a one-for-one basis after retirement or following the issuer’s three-year medium-term business plan period ending on March 31, 2027. Shares corresponding to these points are held in a board incentive plan trust, which will sell 50% of the shares through pre-arranged open market sales in Japan, delivering cash proceeds plus the remaining shares to Kubota, subject to clawback and forfeiture conditions.
MITSUBISHI UFJ FINANCIAL GROUP INC director Junichi Hanzawa filed an initial statement of holdings. He reports direct ownership of 236,500 shares of common stock and several blocks of stock compensation plan points that are each exchangeable into common shares on a one-for-one basis under the company’s plan.
The non-adjustable and performance-based points, including blocks linked to 245,092, 2,805 and 19,920 underlying common shares, are subject to clawback and forfeiture for cause and convert only after retirement or after the issuer’s current three-year medium-term business plan ending on March 31, 2027. A board incentive plan trust will sell 50% of the underlying shares through pre-arranged open market sales in Japan on specified future dates, delivering cash proceeds plus the remaining shares to Hanzawa.
MITSUBISHI UFJ FINANCIAL GROUP INC executive Keitaro Tsukiyama filed an initial Form 3, disclosing his current equity-related interests in the company. He directly holds stock compensation plan points that are exchangeable on a one-for-one basis into common stock, and also holds common shares outright.
The filing shows non-adjustable points tied to retirement and performance-based points linked to the issuer’s medium-term business plan ending on March 31, 2027, all generally subject to clawback and forfeiture for cause. A board incentive plan trust will hold the underlying shares and later sell 50% through pre-arranged open market transactions in Japan, delivering a mix of cash proceeds and remaining shares to Tsukiyama under the plan’s terms, alongside his directly held common stock position.
Mitsubishi UFJ Financial Group executive Katsunori Yokomaku filed an initial ownership report showing direct holdings of common stock and multiple tranches of stock compensation plan points. These points are generally exchangeable on a one-for-one basis into common shares under the issuer’s stock compensation plan.
Non-adjustable points can be exchanged for shares after he retires from the position on which the grants were based, subject to clawback and forfeiture for cause. Before delivery, shares corresponding to these points are held in a board incentive plan trust, which will sell 50% of the shares through pre-arranged open market sales in Japan, delivering cash proceeds plus the remaining shares to him.
He also has annual and medium-term performance-based points tied to service and performance periods running through March 31, 2027, with potential adjustment from 0% to 150%. These points are likewise subject to clawback and will be exchanged into common shares after the current three-year medium-term business plan period ends, with delivery terms similar to the other performance-based awards.
Mitsubishi UFJ Financial Group director Kobayashi Makoto has filed an initial statement of holdings. The Form 3 reports direct ownership of 287,958 shares of common stock and several positions in stock compensation plan points that are each exchangeable into one share of common stock under the issuer's stock compensation plan.
The reported stock compensation plan points relate to non-adjustable, annual performance-based, and medium-term performance-based awards tied to service and performance periods running through March 31, 2027. Subject to clawback and forfeiture for cause, these points become exchangeable after retirement or after the current three-year medium-term business plan period, with shares first held in a board incentive plan trust. Under the plan, 50% of the shares associated with these points will be sold by the trust through pre-arranged open market sales in Japan on specified dates such as the tenth business day in June 2027, and the net cash proceeds plus the remaining 50% in shares will then be delivered to Kobayashi.
MITSUBISHI UFJ FINANCIAL GROUP INC managing corporate executive Tadashi Yamamoto filed an initial statement of beneficial ownership. The filing shows direct holdings of 37,400 shares of Common Stock.
Yamamoto also holds stock compensation plan points that are exchangeable on a one-for-one basis into Common Stock. These include non-adjustable points and performance-based points representing 115,027, 11,803 and 3,853 underlying shares, subject to clawback and forfeiture for cause. For these plans, shares are held in a board incentive plan trust, with 50% to be sold through pre-arranged open market sales in Japan at set delivery dates tied to retirement or the issuer’s medium-term business plan period ending on March 31, 2027, and the remainder delivered in shares.
Mitsubishi UFJ Financial Group, Inc. filed an initial ownership report for Sneider David Abbott, who is identified as a director of the company. This Form 3 establishes his status as an insider under SEC rules, and the provided data shows no reported transactions or derivative positions.
Mitsubishi UFJ Financial Group Inc. director Koichi Tsuji has filed an initial Form 3, which is a required statement of beneficial ownership for insiders. This filing does not list any stock transactions or derivative positions, and serves mainly to register his status as a reporting person.
Mitsubishi UFJ Financial Group Managing Corporate Executive Toshiki Ochi filed an initial insider ownership report. He directly holds 46,900 shares of common stock and multiple blocks of stock compensation plan points that are each exchangeable into one common share under the company’s stock compensation plan.
The footnotes explain that non-adjustable and performance-based points may convert to shares after retirement or after the current three-year medium-term business plan ending on March 31, 2027, subject to clawback and forfeiture for cause. Before delivery, shares corresponding to these points are held in a board incentive plan trust, which will sell 50% of the shares through pre-arranged open market sales in Japan, delivering cash proceeds plus the remaining 50% in shares to Ochi.