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  4. [Form 3] MIZUHO FINANCIAL GROUP INC Initial Statement of Beneficial Ownership

Mizuho Financial Group (MFG) director discloses phantom stock and ESOP stake

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Mizuho Financial Group director Kobayashi Yoshimitsu filed an initial ownership report. He holds phantom stock units tied to 8,517 shares of common stock directly, which are fully vested and will settle when he retires. Each phantom unit represents a right to receive one share, payable in cash or common stock at the company’s election. He also has an indirect interest in 6,987.63 shares of common stock through an employee stock ownership plan.

Positive

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Negative

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Insider Kobayashi Yoshimitsu
Role Director
Type Security Shares Price Value
holding Phantom Stock Units - Retirement -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Phantom Stock Units - Retirement — 8,517 shares (Direct); Common Stock — 6,987.63 shares (Indirect, By ESOP)
Footnotes (1)
  1. These phantom stock units are fully vested and settle upon the Reporting Person's retirement from the Company. Each phantom stock unit represents a contingent right to receive one share of Issuer Common Stock, which will be settled in cash or common stock upon settlement at the Issuer's election.
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SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Kobayashi Yoshimitsu
(Last)(First)(Middle)
C/O MIZUHO FINANCIAL GROUP, INC.
1-5-5 OTEMACHI, CHIYODA-KU
(Street)
TOKYOJAPAN100-8176
(City)(State)(Zip)
JAPAN
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026		3. Issuer Name and Ticker or Trading Symbol
MIZUHO FINANCIAL GROUP INC [ MFG ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock6,987.63IBy ESOP
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Phantom Stock Units - Retirement (1) (1)Common Stock8,517(2)D
Explanation of Responses:
1. These phantom stock units are fully vested and settle upon the Reporting Person's retirement from the Company.
2. Each phantom stock unit represents a contingent right to receive one share of Issuer Common Stock, which will be settled in cash or common stock upon settlement at the Issuer's election.
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney.
/s/ Yuki Nishii, as Attorney-In-Fact03/18/2026
** 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 5 (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 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Mizuho Financial Group (MFG) director Kobayashi report on this Form 3?

Director Kobayashi Yoshimitsu reported his initial ownership in Mizuho Financial Group. He disclosed fully vested phantom stock units linked to 8,517 common shares and an indirect interest in 6,987.63 common shares held through an employee stock ownership plan.

How many phantom stock units did Kobayashi report for Mizuho Financial Group (MFG)?

He reported phantom stock units tied to 8,517 underlying shares of Mizuho common stock. These units are fully vested and will settle upon his retirement, either in cash or in common stock, at the company’s election according to the filing footnotes.

When do Kobayashi’s phantom stock units in Mizuho Financial Group (MFG) settle?

The phantom stock units settle when Kobayashi retires from the company. At settlement, each unit converts into the value of one share of Mizuho common stock, and the company may choose to pay the amount in cash or in shares.

Does Kobayashi directly or indirectly own Mizuho Financial Group (MFG) common stock?

He has both direct and indirect interests. The phantom stock units are held directly and reference 8,517 underlying shares, while 6,987.63 common shares are held indirectly through an employee stock ownership plan identified in the ownership details.

Does this Mizuho Financial Group (MFG) Form 3 show any recent share purchases or sales?

The Form 3 lists Kobayashi’s existing holdings but does not report any new purchases or sales. It classifies the entries as holdings, providing a snapshot of his phantom stock units and indirect common stock interests as of the reported date.