MUFG executive granted 5,796 stock plan points

Ueno Yoshiaki reported acquisition or exercise transactions in this Form 4 filing.

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

Rhea-AI Filing Summary

Ueno Yoshiaki reported acquisition or exercise transactions in this Form 4 filing.

MITSUBISHI UFJ FINANCIAL GROUP Managing Corporate Executive Yoshiaki Ueno reported a grant of 5,796 Stock Compensation Plan Points linked to common stock. These non-adjustable points are scheduled to be received in equal monthly installments from July 2026 to June 2027. Following this award, Ueno holds 65,916 points in total, each ultimately exchangeable for one share of common stock after retirement, with settlement partly in cash and partly in shares through a board incentive plan trust.

Insider Trade Summary

Grant/Award: 5,796 shares

Grant/Award 1 txn

Insider Ueno Yoshiaki

Role Managing Corporate Executive

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

Holdings After Transaction: Stock Compensation Plan Points — 65,916 contracts (Direct)

Holdings Before and After: Stock Compensation Plan Points, 60,120 to 65,916 contracts (Direct)

Footnotes (1)

1. F1. 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.

Key Figures

Stock plan points granted: 5,796 points Points after transaction: 65,916 points Vesting period: July 2026–June 2027 +2 more

5 metrics

Stock plan points granted 5,796 points Grant of Stock Compensation Plan Points on July 1, 2026

Points after transaction 65,916 points Total Stock Compensation Plan Points following the award

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

Share exchange ratio 1 point = 1 share Each point exchangeable for one MUFG common share after retirement

Post-retirement distribution split 50% cash / 50% shares Trust sells half the shares; cash plus remaining shares delivered to Ueno

Key Terms

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

5 terms

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

"shares to be exchanged for the received points are held by a board incentive plan trust"

pre-arranged open market sale financial

"will be sold by the trust through a pre-arranged open market sale in Japan"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did MUFG executive Yoshiaki Ueno report in this Form 4 filing?

Yoshiaki Ueno reported receiving 5,796 Stock Compensation Plan Points as a grant. These points are tied to MUFG common stock and are scheduled to be delivered in equal monthly installments over twelve months from July 2026 through June 2027, reflecting deferred equity-based compensation.

How are Yoshiaki Ueno’s MUFG Stock Compensation Plan Points structured?

The 5,796 points are non-adjustable and vest in equal monthly installments between July 2026 and June 2027. Each point can later be exchanged for one MUFG common share after Ueno retires from the position associated with the grant, subject to clawback and forfeiture provisions.

What happens to the MUFG shares underlying Ueno’s Stock Compensation Plan Points?

Shares corresponding to the points are held by a board incentive plan trust until retirement. After retirement, 50% of those shares will be sold in a pre-arranged open market transaction in Japan, and Ueno will receive the cash proceeds plus the remaining 50% of the shares.

How many Stock Compensation Plan Points does Yoshiaki Ueno hold after this MUFG grant?

After this grant of 5,796 Stock Compensation Plan Points, Yoshiaki Ueno holds a total of 65,916 points. Each point is ultimately exchangeable for one share of MUFG common stock following retirement from the relevant position, subject to the plan’s clawback and forfeiture terms.

Are Yoshiaki Ueno’s MUFG Stock Compensation Plan Points subject to clawback or forfeiture?

Yes, the points are subject to clawback and forfeiture for cause under the plan. This means MUFG may cancel or reclaim the award if specified conditions occur, reinforcing performance and conduct expectations tied to this stock-based compensation arrangement.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

Ueno Yoshiaki

(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	65,916	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)