Mizuho CIO files Form 3 with phantom stock units
Mizuho Financial Group’s Chief Information Officer, Shinichiro Hihara, has filed an initial ownership report detailing his equity-linked interests in the company.
Rhea-AI Filing Summary
Mizuho Financial Group’s Chief Information Officer, Shinichiro Hihara, has filed an initial ownership report detailing his equity-linked interests in the company. The filing lists direct holdings of common stock and several grants of phantom stock units tied to issuer common stock.
Certain phantom stock units totaling 4,020 underlying shares are fully vested and will settle upon his retirement, in cash or common stock at the issuer’s election. Additional phantom stock units representing 3,947 underlying shares vest in three equal annual installments beginning on July 1, 2026, and another grant representing 2,562 underlying shares is the unvested portion of a grant vesting in three equal annual installments beginning on July 1, 2025. The report also shows direct and ESOP-held common stock positions as of the reporting date.
Positive
- None.
Negative
- None.
Insider Trade Summary
5 transactions reported
Mixed
5 txns
Insider
Hihara Shinichiro
Role
Chief Information Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Phantom Stock Units - Retirement | -- | -- | -- |
| holding | Phantom Stock Units | -- | -- | -- |
| holding | Phantom Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Phantom Stock Units - Retirement — 4,020 contracts (Direct);
Phantom Stock Units — 6,509 contracts (Direct);
Common Stock — 5,248 shares (Direct);
Common Stock — 973.897 shares (Indirect, By ESOP)
Footnotes (4)
- F1. These phantom stock units are fully vested and settle upon the Reporting Person's retirement from the Company.
- F2. 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.
- F3. These phantom stock units vest in three equal annual installments beginning on July 1, 2026.
- F4. Represents the unvested portion of a grant of phantom stock units which vest in three equal annual installments beginning on July 1, 2025.
Key Figures
Fully vested phantom units (underlying shares): 4,020 shares
Phantom units vesting from July 1, 2026: 3,947 shares
Unvested phantom units from 2025 grant: 2,562 shares
+3 more
6 metrics
Fully vested phantom units (underlying shares)
4,020 shares
Fully vested, settle upon retirement
Phantom units vesting from July 1, 2026
3,947 shares
Vest in three equal annual installments
Unvested phantom units from 2025 grant
2,562 shares
Unvested portion, vesting begins July 1, 2025
Direct common stock holding
5,248 shares
Direct ownership as shown in Form 3
Indirect ESOP common stock holding
973.897 shares
Indirect ownership via ESOP
Exercise price of phantom units
$0.0000
Exercise/conversion price for phantom stock units
Key Terms
Phantom Stock Units, contingent right, settled in cash or common stock, vest in three equal annual installments, +1 more
5 terms
Phantom Stock Units financial
"These phantom stock units are fully vested and settle upon the Reporting Person's retirement"
Phantom stock units are company promises that pay a cash or stock-equivalent award tied to the firm’s share price or value growth, but they do not issue actual shares. Think of them as a bonus check that moves with the stock like a mirror rather than handing over an ownership slice. Investors care because these awards can affect a company’s future cash obligations, executive incentives and reported expenses without causing share dilution.
contingent right financial
"Each phantom stock unit represents a contingent right to receive one share of Issuer Common Stock"
settled in cash or common stock financial
"which will be settled in cash or common stock upon settlement at the Issuer's election"
vest in three equal annual installments financial
"These phantom stock units vest in three equal annual installments beginning on July 1, 2026"
ESOP financial
"Common Stock ... indirect ... nature_of_ownership: By ESOP"
An Employee Stock Ownership Plan (ESOP) is a program that gives employees ownership shares in their company, often as part of their benefits package. It acts like a company-sponsored savings plan, allowing workers to have a stake in the company's success, which can boost motivation and loyalty. For investors, ESOPs can influence company decisions and stock value, making them an important aspect of corporate ownership and governance.
FAQ
What does Mizuho Financial Group (MFG) CFO-level Form 3 for Shinichiro Hihara show?
The Form 3 shows Chief Information Officer Shinichiro Hihara’s initial report of equity-linked interests in Mizuho Financial Group, including common stock and multiple phantom stock unit grants with different vesting schedules and retirement-based settlement terms.
How many fully vested phantom stock units does MFG’s CIO report on Form 3?
He reports phantom stock units tied to 4,020 underlying shares that are fully vested and settle upon retirement. Each unit represents a contingent right to one share of common stock, payable in cash or stock at Mizuho Financial Group’s election when settlement occurs.
How do Shinichiro Hihara’s phantom stock units in Mizuho Financial Group (MFG) vest?
One phantom stock grant representing 3,947 underlying shares vests in three equal annual installments starting July 1, 2026. Another grant representing 2,562 underlying shares is the unvested portion of an award vesting in three equal annual installments beginning July 1, 2025.
How are MFG phantom stock units for the CIO settled according to the Form 3?
Each phantom stock unit represents a contingent right to receive one share of Mizuho common stock, which will be settled in cash or common stock at the issuer’s election upon settlement, including settlement upon the reporting person’s retirement from the company.
What indirect Mizuho Financial Group (MFG) holdings does the CIO report on Form 3?
The filing shows 973.897 shares of Mizuho common stock held indirectly through an ESOP. This is in addition to directly held common stock and phantom stock unit positions, providing a fuller picture of the CIO’s reported ownership interests in the company.
AI-generated analysis. How Rhea-AI works. Not financial advice.
