MUFG (NYSE: MUFG) awards 5,796 stock plan points to executive

Rhea-AI Filing Summary

Katayama Miki reported acquisition or exercise transactions in this Form 4 filing.

MITSUBISHI UFJ FINANCIAL GROUP reported a compensation-related award for Managing Corporate Executive Miki Katayama. The executive received 5,796 Stock Compensation Plan Points, each exchangeable for one share of common stock after retirement from the relevant position. These points are scheduled to be received in equal monthly installments from July 2026 through June 2027 and are subject to clawback and forfeiture for cause. Following this grant, Katayama holds 64,798 points in total. Before delivery, shares corresponding to the points are held in a board incentive plan trust, which will sell 50% of the shares through a pre-arranged open market sale in Japan, delivering cash proceeds and the remaining 50% in shares to the executive.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Katayama Miki

Role Managing Corporate Executive

Type	Security	Shares	Price	Value
Grant/Award	Stock Compensation Plan Points	5,796	$0.00	--

Holdings After Transaction: Stock Compensation Plan Points — 64,798 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Stock compensation points granted: 5,796 points Total points after grant: 64,798 points Vesting period: July 2026 to June 2027 +2 more

5 metrics

Stock compensation points granted 5,796 points Grant on 2026-07-01; each point for one common share

Total points after grant 64,798 points Total Stock Compensation Plan Points following transaction

Vesting period July 2026 to June 2027 Points received in equal monthly installments

Trust sale portion 50% of shares Sold by board incentive plan trust after retirement

Exercise price per point 0.0000 Grant/award acquisition at no cash cost to executive

Key Terms

Stock Compensation Plan Points, board incentive plan trust, clawback, forfeiture for cause, +1 more

5 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..."

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..."

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 executive Miki Katayama receive in this Form 4 filing?

Miki Katayama received an award of 5,796 Stock Compensation Plan Points. Each point can later be exchanged for one share of MUFG common stock, making this a compensation grant rather than an open-market stock purchase or sale.

How and when will MUFG’s stock compensation points be delivered to Miki Katayama?

The 5,796 points will be received in equal monthly installments from July 2026 to June 2027. Actual shares are deliverable only after Katayama’s retirement from the position tied to this grant, according to the plan terms.

What is the total stock compensation position for Miki Katayama after this grant at MUFG?

After this grant, Miki Katayama is entitled to 64,798 Stock Compensation Plan Points. Each point is designed to convert into one share of MUFG common stock after retirement from the relevant position, subject to the plan’s clawback and forfeiture provisions.

How will MUFG’s board incentive plan trust handle the shares linked to these compensation points?

Before delivery, shares tied to the points are held in a board incentive plan trust. After retirement, the trust will sell 50% of those shares in a pre-arranged open market sale in Japan, delivering cash and the remaining 50% in shares to Katayama.

Are MUFG’s stock compensation points to Miki Katayama subject to clawback or forfeiture?

Yes. The points are subject to clawback and forfeiture for cause. This means MUFG can cancel or reclaim the award under specified conditions, aligning the executive’s long-term incentives with the company’s conduct and performance expectations.

Does this MUFG Form 4 show any open-market buying or selling by Miki Katayama?

No. The Form 4 records a grant or award acquisition of stock compensation points at a price of zero. It does not report any open-market purchases or sales of MUFG shares by Katayama in this transaction.

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^*

Katayama Miki

(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)
	Managing Corporate Executive

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		5,796		(1)	(1)	Common Stock	5,796	$0	64,798	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.

	/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)