MUFG (MUFG) officer awarded 6,960 stock plan points under incentive trust

Rhea-AI Filing Summary

Yamamoto Tadashi reported acquisition or exercise transactions in this Form 4 filing.

MITSUBISHI UFJ FINANCIAL GROUP INC reported that officer Tadashi Yamamoto received a grant of 6,960 Stock Compensation Plan Points. These points correspond to 6,960 shares of common stock and are to be received in equal monthly installments over his service period from July 2026 to June 2027. After he retires from the relevant position, each point can be exchanged for one share, with the shares currently held in a board incentive plan trust. Following retirement, 50% of those shares will be sold by the trust in pre-arranged open market sales in Japan, and the cash proceeds plus the remaining 50% in shares will be delivered to him. After this award, his aggregate balance under the plan is 133,790 points linked to common stock.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Yamamoto Tadashi

Role See Remarks

Type	Security	Shares	Price	Value
Grant/Award	Stock Compensation Plan Points	6,960	$0.00	--

Holdings After Transaction: Stock Compensation Plan Points — 133,790 shares (Direct)

Footnotes (1)

1. [object Object]

Key Figures

Stock plan points granted: 6,960 points Underlying common shares: 6,960 shares Total points after grant: 133,790 points +2 more

5 metrics

Stock plan points granted 6,960 points Stock Compensation Plan Points awarded on July 1, 2026

Underlying common shares 6,960 shares Each point exchangeable for one common share after retirement

Total points after grant 133,790 points Aggregate balance following this award

Service period for installments July 2026–June 2027 Points delivered in equal monthly installments

Portion of shares sold by trust 50% Sold in pre-arranged open market sales in Japan after retirement

Key Terms

Stock Compensation Plan Points, board incentive plan trust, clawback, forfeiture for cause

4 terms

Stock Compensation Plan Points financial

"Represents the aggregate non-adjustable points that the reporting person is entitled to receive"

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"

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/02/2026 - 07:30 AM Accepted by SEC EDGAR 07/02/2026 - 07:30 AM Learn about SEC filing dates

FAQ

What did MUFG officer Tadashi Yamamoto report on this Form 4?

Tadashi Yamamoto reported receiving 6,960 Stock Compensation Plan Points as a compensation award. These derivative points are linked to 6,960 MUFG common shares and increase his total plan-related balance to 133,790 points tied to common stock.

How will Tadashi Yamamoto’s 6,960 MUFG stock plan points be delivered?

The 6,960 points will be delivered in equal monthly installments from July 2026 to June 2027. After retirement from the relevant position, each point becomes exchangeable for one MUFG common share held for him by a board incentive plan trust.

What happens to the MUFG shares underlying Tadashi Yamamoto’s stock plan points at retirement?

After retirement, 50% of the MUFG shares underlying his points will be sold by a board incentive plan trust in pre-arranged open market sales in Japan. He will receive the net cash proceeds plus the remaining 50% of the shares directly.

Are Tadashi Yamamoto’s MUFG stock compensation points subject to clawback or forfeiture?

Yes, the granted points are subject to clawback and forfeiture for cause under the plan terms. This means MUFG can cancel or reclaim the award in specified adverse circumstances tied to his conduct or other plan-defined triggers.

Is Tadashi Yamamoto’s Form 4 transaction an open-market purchase of MUFG shares?

No, the filing shows a grant coded as an acquisition under a stock compensation plan, not an open-market purchase. He received 6,960 Stock Compensation Plan Points at zero price, reflecting compensation rather than a discretionary market trade.

SEC Form 4

FORM 4

UNITED 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^*

Yamamoto Tadashi

(Last) (First) (Middle)

4-5, MARUNOUCHI 1-CHOME

(Street)

CHIYODA-KU, TOKYO JAPAN 100-8330

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

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)

X	Form 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)
			Code	V	Amount	(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Compensation Plan Points(1)	(1)	07/01/2026		A		6,960		(1)	(1)	Common Stock	6,960	$0	133,790	D

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.

Remarks:

Senior Managing Corporate Executive

	/s/ Kazutaka Kato, by Power of Attorney	07/02/2026
	** Signature of Reporting Person	Date
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)