MUFG executive granted 3,502 stock plan points

MITSUBISHI UFJ FINANCIAL GROUP INC reported that Managing Corporate Executive Miki Katayama received an annual performance-based grant under the company’s stock compensation plan.

Rhea-AI Filing Summary

MITSUBISHI UFJ FINANCIAL GROUP INC reported that Managing Corporate Executive Miki Katayama received an annual performance-based grant under the company’s stock compensation plan. The award covers 3,502 Stock Compensation Plan Points, bringing Katayama’s reported balance to 5,164 points after the transaction.

According to the plan terms, each point is designed to be exchangeable for one share of MUFG common stock after the end of the current three-year medium-term business plan period ending on March 31, 2027, and is subject to clawback and forfeiture for cause. This is a compensation-related, non-market acquisition rather than an open-market trade.

Insider Trade Summary

Grant/Award: 3,502 shares

Grant/Award 1 txn

Insider Katayama Miki

Role Managing Corporate Executive

Type	Security	Shares	Price	Value
Grant/Award	Stock Compensation Plan Points	3,502	$0.00	$0.00

Holdings After Transaction: Stock Compensation Plan Points — 5,164 contracts (Direct)

Footnotes (1)

1. F1. Represents annual performance-based points granted under the Issuer's stock compensation plan (the "Plan"). Subject to clawback and forfeiture for cause, each point will be exchangeable for one share of the Issuer's common stock following the end of the Issuer's current three-year medium-term business plan period ending on March 31, 2027.

Key Figures

Stock plan points granted: 3,502 points Total points after grant: 5,164 points Exchange ratio: 1 point = 1 share +3 more

6 metrics

Stock plan points granted 3,502 points Annual performance-based grant on June 1, 2026

Total points after grant 5,164 points Holdings following reported Form 4 transaction

Exchange ratio 1 point = 1 share Each point exchangeable for one MUFG common share

Plan period end March 31, 2027 End of three-year medium-term business plan period

Transaction code A (Grant, award, or other acquisition) Form 4 transaction classification

Exercise price 0.0000 Stock Compensation Plan Points grant price per point

Key Terms

Stock Compensation Plan Points, performance-based points, clawback, forfeiture for cause, +1 more

5 terms

Stock Compensation Plan Points financial

"Represents annual performance-based points granted under the Issuer's stock compensation plan"

performance-based points financial

"Represents annual performance-based points granted under the Issuer's stock compensation plan"

clawback regulatory

"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 regulatory

"Subject to clawback and forfeiture for cause, each point will be exchangeable"

three-year medium-term business plan period financial

"following the end of the Issuer's current three-year medium-term business plan period"

FAQ

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

What did MUFG executive Miki Katayama receive in this Form 4 filing for MUFG?

Miki Katayama received an annual performance-based grant of 3,502 Stock Compensation Plan Points. These points come from MUFG’s stock compensation plan and represent a non-market, compensation-related acquisition rather than a purchase on the open market.

How many stock compensation plan points does Miki Katayama hold after this MUFG grant?

After the grant of 3,502 Stock Compensation Plan Points, Miki Katayama is reported as holding a total of 5,164 points. This total reflects direct holdings under MUFG’s stock compensation plan following the reported Form 4 transaction.

When can MUFG stock compensation plan points granted to Miki Katayama be exchanged for shares?

Each Stock Compensation Plan Point is intended to be exchangeable for one share of MUFG common stock after the current three-year medium-term business plan period. That period ends on March 31, 2027, according to the disclosed plan terms.

Are the MUFG stock compensation plan points granted to Miki Katayama subject to clawback?

Yes. The filing states the performance-based points are subject to clawback and forfeiture for cause. This means MUFG can cancel or reclaim the award under specified circumstances tied to behavior or other conditions defined in the plan.

Is Miki Katayama’s MUFG Form 4 transaction a market purchase or sale of stock?

The transaction is not a market purchase or sale. It is coded as a grant or award acquisition under MUFG’s stock compensation plan, with 3,502 Stock Compensation Plan Points granted as part of executive compensation rather than through open-market trading.

What type of security underlies MUFG’s Stock Compensation Plan Points granted to Miki Katayama?

The Stock Compensation Plan Points are derivative awards linked to MUFG common stock. Each point is designed to be exchangeable for one share of MUFG common stock after the three-year medium-term business plan period ending March 31, 2027.

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

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Accepted by SEC EDGAR 06/02/2026 - 07:05 AM EDT Learn about SEC filing dates

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)
06/01/2026

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)	06/01/2026		A		3,502		(1)	(1)	Common Stock	3,502	$0	5,164	D

Explanation of Responses:

1. Represents annual performance-based points granted under the Issuer's stock compensation plan (the "Plan"). Subject to clawback and forfeiture for cause, each point will be exchangeable for one share of the Issuer's common stock following the end of the Issuer's current three-year medium-term business plan period ending on March 31, 2027.

	/s/ Kazutaka Kato, by Power of Attorney	06/02/2026
	** 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)