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Mitsubishi UFJ (MUFG) officer settles stock awards into common shares

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Form Type
4

Rhea-AI Filing Summary

Mitsubishi UFJ Financial Group officer Shuichi Yokoyama settled stock compensation awards into common shares as part of his retirement. 57,966 stock compensation plan points were converted from derivative securities into common stock and cash under the plan. A related entry shows 28,900 common shares recorded in an “other” transaction, contributing to a direct common stock holding of 149,300 shares after these entries. An additional 1,000 common shares are reported as indirectly owned by his spouse. Remaining plan points continue to be held under the plan’s terms.

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Insider Yokoyama Shuichi
Role See Remarks
Type Security Shares Price Value
Conversion Stock Compensation Plan Points 57,966 $0.00 --
Other Common Stock 28,900 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Stock Compensation Plan Points — 5,294 shares (Direct); Common Stock — 149,300 shares (Direct); Common Stock — 1,000 shares (Indirect, By spouse)
Footnotes (1)
  1. The reported shares were acquired upon the settlement of derivative securities (points) under the plan, previously reported in Table II, in connection with the reporting person's retirement. A portion of the reported derivative securities (points) was settled upon the reporting person's retirement. Such portion was converted into shares of common stock and cash in accordance with the terms of the plan, and the remaining derivative securities (points), including annual performance-based points, continue to be held in accordance with the terms of the plan.
Plan points converted 57,966 points Stock Compensation Plan points converted from derivative securities
Other common stock transaction 28,900 shares Common stock recorded under transaction code J (other)
Direct common stock holding 149,300 shares Directly owned common shares following transactions
Indirect common stock holding 1,000 shares Indirectly owned common shares held by spouse
Remaining plan points 5,294 points Stock Compensation Plan points remaining after partial settlement
Stock Compensation Plan Points financial
"The reported shares were acquired upon the settlement of derivative securities (points) under the plan"
derivative securities financial
"The reported shares were acquired upon the settlement of derivative securities (points) under the plan"
Financial contracts whose value is tied to the price or performance of another asset, such as a stock, bond, commodity, index, or currency; examples include options, futures and swaps. They matter to investors because they let you protect against price swings, bet on future moves or gain larger exposure with less upfront cash—like using a lever or insurance policy on an investment—so they can amplify gains and losses and help manage portfolio risk.
annual performance-based points financial
"the remaining derivative securities (points), including annual performance-based points, continue to be held"
other acquisition or disposition financial
"transaction code description: Other acquisition or disposition"
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
X
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*
Yokoyama Shuichi
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
See Remarks
2a. Foreign Trading Symbol
[8306 (TSE)]
3. Date of Earliest Transaction (Month/Day/Year)
04/14/2026		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
Common Stock(1)04/14/2026J(1)28,900A$0(1)149,300D
Common Stock1,000IBy spouse
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(2)(2)04/14/2026C57,966 (2) (2)Common Stock57,966$05,294D
Explanation of Responses:
1. The reported shares were acquired upon the settlement of derivative securities (points) under the plan, previously reported in Table II, in connection with the reporting person's retirement.
2. A portion of the reported derivative securities (points) was settled upon the reporting person's retirement. Such portion was converted into shares of common stock and cash in accordance with the terms of the plan, and the remaining derivative securities (points), including annual performance-based points, continue to be held in accordance with the terms of the plan.
Remarks:
Senior Managing Corporate Executive
/s/ Kazutaka Kato, by Power of Attorney04/14/2026
** 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 officer Shuichi Yokoyama report in this Form 4?

Shuichi Yokoyama reported settlement of stock compensation plan points into common stock and cash. The filing shows 57,966 plan points converted from derivative securities and related changes to his direct and indirect common stock holdings under Mitsubishi UFJ Financial Group’s compensation plan.

How many Mitsubishi UFJ (MUFG) plan points were converted to shares?

The filing reports 57,966 stock compensation plan points converted from derivative securities into common stock and cash. This conversion occurred under the company’s stock compensation plan in connection with Yokoyama’s retirement and was previously reported in the derivative securities table of earlier filings.

How many MUFG common shares does Yokoyama hold after these transactions?

After these transactions, Yokoyama is shown with 149,300 directly held common shares. The Form 4 also discloses an additional 1,000 common shares held indirectly by his spouse, reflecting both his personal and family-related ownership positions following the settlement of stock compensation points.

Was the MUFG Form 4 transaction an open-market buy or sell?

No, the transactions were not open-market trades. They reflect conversion of stock compensation plan points and an “other” acquisition or disposition entry, with no reported open-market purchases or sales, and include settlement into common stock and cash under the plan’s existing terms.

How is Yokoyama’s spouse’s MUFG share ownership reported in this Form 4?

The Form 4 reports 1,000 MUFG common shares as indirectly owned “by spouse.” This indicates those shares are attributed to Yokoyama through his spouse’s holdings, separate from his 149,300 directly held common shares, giving a fuller picture of his associated ownership position.

What happens to Yokoyama’s remaining MUFG stock compensation plan points?

The filing states that only a portion of the derivative securities (plan points) was settled upon retirement. The remaining plan points, including annual performance-based points, continue to be held and will follow the terms and conditions of Mitsubishi UFJ Financial Group’s stock compensation plan.