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MUFG (NYSE: MUFG) CEO awarded 11,220 stock plan points for 2026-27

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(Neutral)
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Form Type
4

Rhea-AI Filing Summary

Hanzawa Junichi reported acquisition or exercise transactions in this Form 4 filing.

Mitsubishi UFJ Financial Group’s President & Group CEO Junichi Hanzawa received a grant of 11,220 Stock Compensation Plan Points tied to common stock. These points are scheduled to be delivered in equal monthly installments from July 2026 through June 2027 and are compensation, not open-market purchases. Each point can be exchanged for one share of common stock after he retires from the role on which the grant is based. A board incentive plan trust will hold the related shares; after retirement, the trust will sell 50% of the shares in a pre-arranged open-market sale in Japan and deliver the cash proceeds plus the remaining 50% of shares to him. Following this grant, he is shown with 252,317 points representing underlying common shares.

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Insider Hanzawa Junichi
Role President & Group CEO
Type Security Shares Price Value
Grant/Award Stock Compensation Plan Points 11,220 $0.00 --
Holdings After Transaction: Stock Compensation Plan Points — 252,317 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Stock plan points granted 11,220 points Grant of Stock Compensation Plan Points linked to common stock
Total points after grant 252,317 points Total Stock Compensation Plan Points following this award
Installment period July 2026–June 2027 Points delivered in equal monthly installments during this service period
Exchange ratio 1 point = 1 share Each point exchangeable for one MUFG common share after retirement
Portion sold by trust 50% of shares Trust sells half of the shares after retirement in a pre-arranged open-market sale
Stock Compensation Plan Points financial
"Represents the aggregate non-adjustable points that the reporting person is entitled to receive"
clawback financial
"Subject to clawback and forfeiture for cause, each point will be exchangeable"
A clawback is a contractual or legal right to recover money that was already paid out—often executive bonuses, incentives, or erroneous payments—when certain conditions change, such as fraud, accounting mistakes, or failure to meet performance targets. It matters to investors because clawbacks protect shareholder value by discouraging risky or misleading behavior, can affect future cash flow and executive incentives, and signal stronger governance, much like a store recalling a refund after discovering it was issued in error.
forfeiture for cause financial
"Subject to clawback and forfeiture for cause, each point will be exchangeable"
board incentive plan trust financial
"the shares to be exchanged for the received points are held by a board incentive plan trust"
pre-arranged open market sale financial
"will be sold by the trust through a pre-arranged open market sale in Japan"
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FAQ

What did MUFG President & Group CEO Junichi Hanzawa report on this Form 4?
Junichi Hanzawa reported receiving 11,220 Stock Compensation Plan Points as compensation. Each point is linked to one MUFG common share and will be delivered in monthly installments between July 2026 and June 2027, rather than through an open-market stock purchase.

How many MUFG stock compensation points does Junichi Hanzawa hold after this award?
After this award, Junichi Hanzawa is reported with 252,317 Stock Compensation Plan Points. Each point corresponds to one underlying share of MUFG common stock, giving a clear picture of his total equity-linked compensation position as reflected in this filing.

When will the 11,220 MUFG stock compensation points be delivered to Hanzawa?
The 11,220 Stock Compensation Plan Points will be delivered in equal monthly installments from July 2026 through June 2027. This schedule spreads the award over a full year, aligning compensation with his ongoing service period during that timeframe.

When can Hanzawa exchange his MUFG stock compensation points for common shares?
Each point will be exchangeable for one MUFG common share following Hanzawa’s retirement from the position on which the points are based. This means he cannot receive the underlying stock until he retires from that specific role with associated responsibilities.

How will MUFG shares linked to Hanzawa’s stock plan points be delivered at retirement?
Shares linked to the points are held by a board incentive plan trust until retirement. After he retires, the trust will sell 50% of the linked shares in a pre-arranged Japanese market sale and deliver the cash proceeds plus the remaining 50% of shares directly to him.

Are Hanzawa’s MUFG stock compensation points subject to clawback or forfeiture?
Yes. The filing states the points are subject to clawback and forfeiture for cause. This means MUFG can cancel or reclaim some or all of the award under specified misconduct or cause-related conditions set out in the compensation plan’s terms.
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Hanzawa Junichi
(Last)(First)(Middle)
4-5, MARUNOUCHI 1-CHOME
(Street)
CHIYODA-KU, TOKYOJAPAN100-8330
(City)(State)(Zip)
JAPAN
(Country)		2. Issuer Name and Ticker or Trading Symbol
MITSUBISHI UFJ FINANCIAL GROUP INC [ MUFG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
President & Group CEO
2a. Foreign Trading Symbol
[8306 (TSE)]
3. Date of Earliest Transaction (Month/Day/Year)
07/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Compensation Plan Points(1)(1)07/01/2026A11,220 (1) (1)Common Stock11,220$0252,317D
Explanation of Responses:
1. Represents the aggregate non-adjustable points that the reporting person is entitled to receive in equal monthly installments on the first day of each month during the reporting person's service period from July 2026 to June 2027. Subject to clawback and forfeiture for cause, each point will be exchangeable for one share of the Issuer's common stock following the reporting person's retirement from the position with responsibilities based on which the points were granted. Prior to delivery, the shares to be exchanged for the received points are held by a board incentive plan trust, and 50% of such shares will be sold by the trust through a pre-arranged open market sale in Japan in accordance with the Plan on a specific date following the reporting person's retirement from the relevant position. Net proceeds from such sale in cash, together with the remaining 50% in shares, will be delivered to the reporting person.
/s/ Kazutaka Kato, by Power of Attorney07/02/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR