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MUFG (MUFG) executive granted 5,796 stock compensation plan points vesting through 2027

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

Rhea-AI Filing Summary

Sueoka Akiko reported acquisition or exercise transactions in this Form 4 filing.

Mitsubishi UFJ Financial Group Managing Corporate Executive Akiko Sueoka reported a compensation-related award of 5,796 stock compensation plan points. Each point represents the right to receive one share of common stock after retirement from the relevant position. These non-adjustable points will be received in equal monthly installments from July 2026 to June 2027, and bring Sueoka’s total reported stock compensation plan points to 11,592.

Before delivery, the underlying shares are held by a board incentive plan trust. After retirement, the trust will sell 50% of the shares in a pre-arranged open market sale in Japan and deliver the cash proceeds plus the remaining 50% of the shares to Sueoka.

Positive

  • None.

Negative

  • None.
Insider Sueoka Akiko
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 — 11,592 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Stock compensation plan points granted 5,796 points Grant/award acquisition on July 1, 2026
Points outstanding after grant 11,592 points Total stock compensation plan points following transaction
Exercise price per point 0.0000 Non-cash grant; conversion price per underlying share
Underlying common shares per point 1 share per point Each point exchangeable for one common stock share
Underlying common shares for this grant 5,796 shares Underlying common stock tied to awarded points
Service period for installments July 2026 to June 2027 Equal monthly installments during service period
Post-retirement sale percentage 50% of shares Portion sold by trust in pre-arranged open market sale
Stock Compensation Plan Points financial
"Represents the aggregate non-adjustable points that the reporting person is entitled to receive"
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"
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"
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"
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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*
Sueoka Akiko
(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)
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)
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)07/01/2026A5,796 (1) (1)Common Stock5,796$011,592D
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 executive Akiko Sueoka report in this Form 4?

Akiko Sueoka reported an award of 5,796 stock compensation plan points. Each point is linked to one MUFG common share to be delivered after retirement, reflecting compensation rather than an open-market stock purchase.

How are the 5,796 MUFG stock compensation plan points paid to Akiko Sueoka?

The 5,796 points are paid in equal monthly installments from July 2026 to June 2027. This creates a year-long vesting schedule tied to Sueoka’s continued service in the position connected to the award.

What does each MUFG stock compensation plan point represent for Akiko Sueoka?

Each point will be exchangeable for one share of MUFG common stock after Sueoka’s retirement from the relevant position. Until then, the shares corresponding to the points are held in a board incentive plan trust.

How will MUFG deliver value from these points to Akiko Sueoka after retirement?

After retirement, the trust will sell 50% of the underlying MUFG shares in a pre-arranged open market sale in Japan. The trust will then deliver the cash proceeds plus the remaining 50% of the shares to Sueoka.

Are Akiko Sueoka’s MUFG stock compensation plan points subject to clawback or forfeiture?

Yes. The filing states the points are subject to clawback and forfeiture for cause. This means MUFG can cancel or reclaim the compensation under specified misconduct or cause-related conditions defined in the plan.

What is Akiko Sueoka’s total MUFG stock compensation plan position after this award?

After this transaction, Sueoka holds 11,592 stock compensation plan points. Each point is designed to be exchangeable for one MUFG common share after retirement from the position that formed the basis for the grant.