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MUFG (MUFG) director Hiroyuki Seki awarded 4,620 stock compensation points

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Seki Hiroyuki reported acquisition or exercise transactions in this Form 4 filing.

Mitsubishi UFJ Financial Group director Hiroyuki Seki received a grant of 4,620 stock compensation plan points. These points represent non-adjustable awards that will be earned in equal monthly installments from July 2026 to June 2027 during his service period.

Each point will be exchangeable for one share of common stock after he retires from the role on which the award is based. Before delivery, the shares are held in a board incentive plan trust. After retirement, the trust will sell 50% of the related shares in a pre-arranged open market sale in Japan and deliver the cash proceeds plus the remaining 50% in shares. Following this grant, Seki’s reported balance in these points is 182,032.

Positive

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Negative

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Insider Seki Hiroyuki
Role null
Type Security Shares Price Value
Grant/Award Stock Compensation Plan Points 4,620 $0.00 --
Holdings After Transaction: Stock Compensation Plan Points — 182,032 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Stock compensation points granted 4,620 points Grant/award acquisition on July 1, 2026
Underlying common stock 4,620 shares Each point exchangeable for one common share after retirement
Total points after grant 182,032 points Reported balance following the transaction
Service period for installments July 2026 to June 2027 Points received in equal monthly installments
Sale portion after retirement 50% of shares Sold by trust via pre-arranged open market sale in Japan
board incentive plan trust financial
"Prior to delivery, the shares to be exchanged for the received points are held by a board incentive plan trust"
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"
pre-arranged open market sale financial
"50% of such shares will be sold by the trust through a pre-arranged open market sale in Japan"
stock compensation plan points financial
"Represents the aggregate non-adjustable points that the reporting person is entitled to receive"
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Form 4 Insider Transactions: What Each Field Means →
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*
Seki Hiroyuki
(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
Officer (give title below)Other (specify below)
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)07/01/2026A4,620 (1) (1)Common Stock4,620$0182,032D
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

FAQ

What did MUFG director Hiroyuki Seki report in this Form 4 filing?

Hiroyuki Seki reported receiving 4,620 stock compensation plan points. These derivative awards are tied to Mitsubishi UFJ Financial Group common stock and increase his total reported points to 182,032, reflecting routine, compensation-related equity participation rather than an open-market share purchase.

How do Hiroyuki Seki’s MUFG stock compensation plan points convert into shares?

Each stock compensation plan point is exchangeable for one MUFG common share. The exchange occurs after Seki retires from the position on which the award is based, at which time the trust delivers a mix of cash proceeds and remaining shares to him.

Over what period will Hiroyuki Seki’s 4,620 MUFG stock compensation points vest?

The 4,620 points vest in equal monthly installments from July 2026 to June 2027. This creates a 12‑month earning schedule tied to his ongoing service, rather than a single, immediate vesting event on the grant date.

What role does the board incentive plan trust play in MUFG’s award to Hiroyuki Seki?

The board incentive plan trust holds shares underlying Seki’s points before delivery. After his retirement, the trust will sell 50% of those shares in a pre-arranged open market sale in Japan and deliver cash plus the remaining shares to him.

Are Hiroyuki Seki’s MUFG stock compensation points subject to clawback or forfeiture?

Yes, the stock compensation plan points are subject to clawback and forfeiture for cause. This means MUFG can reclaim or cancel awards under specified misconduct or cause-related conditions defined in the applicable plan and arrangements.

How many MUFG stock compensation plan points does Hiroyuki Seki hold after this grant?

After this grant, Hiroyuki Seki holds 182,032 stock compensation plan points. This figure represents his reported balance of these derivative awards, each potentially exchangeable for one share of MUFG common stock upon satisfaction of the retirement and plan conditions.