Sony executive details RSUs and options in Form 3
Sony Group Corp executive Kimio Maki filed an initial Form 3 detailing his equity-based holdings in Sony common stock.
Rhea-AI Filing Summary
Sony Group Corp executive Kimio Maki filed an initial Form 3 detailing his equity-based holdings in Sony common stock. The filing lists several blocks of restricted stock units, including awards representing 36,026, 26,731, 15,080 and another 36,026 underlying shares that generally vest between August 3, 2026 and August 1, 2028, with each RSU converting into one share if vesting conditions are met.
The filing also shows multiple employee stock option grants on Sony common stock with exercise prices ranging from $6.71 to $28.91 per share and expiration dates running from October 31, 2027 through October 30, 2035. All positions are reported as directly held, and many options are already exercisable in installments according to their allocation agreements.
Positive
- None.
Negative
- None.
Insider Trade Summary
13 transactions reported
Mixed
13 txns
Insider
Maki Kimio
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 113,863 contracts (Direct);
Employee Stock Option (right to buy) — 576,700 contracts (Direct)
Footnotes (14)
- F1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of SONY common stock. The RSUs vest on August 3, 2026. The grant is subject to forfeiture and accelerated vesting in accordance with its terms.
- F2. Each RSU represents a contingent right to receive one share of SONY common stock. The RSUs vest on August 2, 2027. The grant is subject to forfeiture and accelerated vesting in accordance with its terms.
- F3. Each RSU represents a contingent right to receive one share of SONY common stock. The RSUs vest on August 1, 2028. The grant is subject to forfeiture and accelerated vesting in accordance with its terms.
- F4. Each RSU represents a contingent right to receive one share of SONY common stock. The RSUs vest on December 1, 2026. The grant is subject to forfeiture and accelerated vesting in accordance with its terms.
- F5. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of November 1, 2019, November 21, 2019, and November 21, 2020. The option was granted on November 21, 2017.
- F6. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of October 31, 2020, November 20, 2020, and November 20, 2021. The option was granted on November 20, 2018.
- F7. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of October 31, 2021, November 20, 2021, and November 20, 2022. The option was granted on November 20, 2019.
- F8. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of October 29, 2022, November 18, 2022, and November 18, 2023. The option was granted on November 18, 2020.
- F9. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of October 29, 2023, November 18, 2023, and November 18, 2024. The option was granted on November 18, 2021.
- F10. The allocation agreement provides that the option to acquire common stock became exercisable in three equal installments on each of November 2, 2024, November 16, 2024, and November 16, 2025. The option was granted on November 16, 2022.
- F11. The allocation agreement provides that the option to acquire common stock becomes exercisable in three equal installments on each of November 10, 2025, November 27, 2025, and November 27, 2026. The option was granted on November 27, 2023.
- F12. The allocation agreement provides that the option to acquire common stock becomes exercisable in three equal installments on each of November 9, 2026, November 25, 2026, and November 25, 2027. The option was granted on November 25, 2024.
- F13. The allocation agreement provides that the option to acquire common stock becomes exercisable in three equal installments on each of October 31, 2027, November 25, 2027, and November 25, 2028. The option was granted on November 25, 2025.
- F14. For purposes of this Form 3, a conversion rate of USD $0.006408 for each JPY 1.00 was used.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does Kimio Maki’s Sony (SNEJF) Form 3 filing show?
The Form 3 shows Kimio Maki’s initial report of equity holdings in Sony, including several restricted stock unit awards and multiple employee stock option grants on common stock with specified exercise prices and expiration schedules, all reported as directly held positions.
What restricted stock units are reported in Sony (SNEJF) executive Kimio Maki’s Form 3?
The filing lists several RSU awards, including blocks representing 36,026, 26,731, 15,080 and another 36,026 underlying Sony common shares. Each RSU grants a contingent right to one share and vests on dates between August 3, 2026 and August 1, 2028, subject to forfeiture provisions.
What stock options does Kimio Maki hold according to the Sony (SNEJF) Form 3?
The Form 3 reports multiple employee stock options on Sony common stock, with exercise prices such as $6.71, $8.25, $8.59, $11.84, $14.60, $16.59, $18.39, $18.89 and $28.91 per share and expiration dates spanning from October 31, 2027 to October 30, 2035.
Are Kimio Maki’s Sony (SNEJF) stock options already exercisable?
Footnotes state that earlier option grants became exercisable in three equal installments on specific dates from 2019 through 2025. Later grants become exercisable in three equal installments between November 10, 2025 and November 25, 2028, depending on the particular allocation agreement referenced in the filing.
How do Sony (SNEJF) RSUs for Kimio Maki vest over time?
The RSU footnotes explain that each unit converts into one Sony common share upon vesting. The reported RSU tranches vest on August 3, 2026, December 1, 2026, August 2, 2027 and August 1, 2028, and remain subject to forfeiture and potential accelerated vesting under their grant terms.
What currency conversion does the Sony (SNEJF) Form 3 use?
One footnote states that a conversion rate of USD $0.006408 for each JPY 1.00 was used for this Form 3. This rate provides a consistent basis for translating Japanese yen-denominated values into U.S. dollars within the reported equity award information.
AI-generated analysis. How Rhea-AI works. Not financial advice.
