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  4. [Form 4] MITSUBISHI UFJ FINANCIAL GROUP INC Insider Trading Activity

MUFG (MUFG) officer receives 8,316 stock compensation plan points grant

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

Rhea-AI Filing Summary

Nakahama Fumitaka reported acquisition or exercise transactions in this Form 4 filing.

MITSUBISHI UFJ FINANCIAL GROUP INC reported a Form 4 showing that officer Fumitaka Nakahama received a grant of 8,316 Stock Compensation Plan Points as compensation. These points will vest in equal monthly installments from July 2026 to June 2027 and are exchangeable for common shares after retirement.

Following this award, Nakahama is shown with 152,727 points in total. Under the plan, the related shares are held by a board incentive plan trust, which will sell 50% of the shares in a pre-arranged open market sale in Japan after retirement, delivering sale proceeds in cash plus the remaining shares to him.

Positive

  • None.

Negative

  • None.
Insider Nakahama Fumitaka
Role See Remarks
Type Security Shares Price Value
Grant/Award Stock Compensation Plan Points 8,316 $0.00 --
Holdings After Transaction: Stock Compensation Plan Points — 152,727 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Stock Compensation Plan Points granted 8,316 points Grant on July 1, 2026, under stock compensation plan
Total points after grant 152,727 points Total Stock Compensation Plan Points following transaction
Grant price per point 0.0000 Compensation grant with no cash paid by insider
Underlying security 8,316 common shares Each point exchangeable for one MUFG common share
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*
Nakahama Fumitaka
(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)
See Remarks
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)07/01/2026A8,316 (1) (1)Common Stock8,316$0152,727D
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.
Remarks:
Senior Managing Corporate Executive
/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 insider transaction did MUFG report for Fumitaka Nakahama on this Form 4?

MUFG reported that officer Fumitaka Nakahama received a grant of 8,316 Stock Compensation Plan Points. These are compensation-related awards, not open-market purchases, and each point is exchangeable for one share of MUFG common stock after he retires from the relevant position.

Are the MUFG Form 4 transactions open-market buys or a compensation grant?

The MUFG Form 4 shows a compensation grant, not an open-market buy. Nakahama was awarded 8,316 Stock Compensation Plan Points at a price of 0.0000, classified as a grant or award acquisition, reflecting equity-based compensation rather than a discretionary share purchase.

How and when do MUFG Stock Compensation Plan Points convert into common shares?

Each MUFG Stock Compensation Plan Point will be exchangeable for one share of common stock following Nakahama’s retirement from the position tied to the grant. Until then, the related shares are held by a board incentive plan trust under the company’s incentive plan structure.

What is Nakahama’s total MUFG stock compensation position after this Form 4 grant?

After receiving 8,316 Stock Compensation Plan Points, Nakahama’s total reported point balance is 152,727. These points represent potential future MUFG common shares, subject to service through July 2026 to June 2027, retirement conditions, and the plan’s clawback or forfeiture provisions.

How will MUFG deliver value from these Stock Compensation Plan Points to Nakahama?

After retirement, a board incentive plan trust will exchange the points for MUFG shares, sell 50% of those shares in a pre-arranged open market sale in Japan, and deliver the cash proceeds plus the remaining 50% of the shares directly to Nakahama under the plan terms.

What risk protections apply to MUFG’s Stock Compensation Plan Points granted to Nakahama?

The Stock Compensation Plan Points are subject to clawback and forfeiture for cause under MUFG’s plan rules. This means the company can cancel or reclaim awards in specified misconduct or cause situations, aligning management incentives with long-term conduct and performance expectations.