MUFG officer converts stock awards into shares
Mitsubishi UFJ Financial Group officer Shuichi Yokoyama settled stock compensation awards into common shares as part of his retirement.
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.
Positive
- None.
Negative
- None.
Insider Trade Summary
57,966 shares exercised/converted
Exercise
3 txns
Insider
Yokoyama Shuichi
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Conversion | Stock Compensation Plan Points | 57,966 | $0.00 | $0.00 |
| Other | Common Stock | 28,900 | $0.00 | $0.00 |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Stock Compensation Plan Points — 5,294 contracts (Direct);
Common Stock — 149,300 shares (Direct);
Common Stock — 1,000 shares (Indirect, By spouse)
Footnotes (2)
- F1. 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.
- F2. 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.
Key Figures
Plan points converted: 57,966 points
Other common stock transaction: 28,900 shares
Direct common stock holding: 149,300 shares
+2 more
5 metrics
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
Key Terms
Stock Compensation Plan Points, derivative securities, annual performance-based points, other acquisition or disposition
4 terms
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"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
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.
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.
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.
AI-generated analysis. How Rhea-AI works. Not financial advice.
