Sony executive reports initial share and option stakes
Sony Group Corp officer Tanaka Kenji filed an initial ownership report showing existing equity interests in Sony common stock and equity awards.
Rhea-AI Filing Summary
Sony Group Corp officer Tanaka Kenji filed an initial ownership report showing existing equity interests in Sony common stock and equity awards. The filing lists 54,899 shares of common stock held directly, several blocks of restricted stock units (RSUs) that each represent a right to receive one share of Sony common stock, and multiple employee stock options with exercise prices ranging from $8.25 to $28.91 per share and expirations between 2028 and 2035. Footnotes explain that RSUs and options vest in scheduled installments on specified dates, with grants subject to forfeiture and potential accelerated vesting under their terms.
Positive
- None.
Negative
- None.
Insider Trade Summary
14 transactions reported
Mixed
14 txns
Insider
Tanaka Kenji
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 | 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 | Common Stock | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 24,259 contracts (Direct);
Employee Stock Option (right to buy) — 158,500 contracts (Direct);
Common Stock — 54,899 shares (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 December 1, 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 have vested or will vest in three equal amounts on each of December 2, 2024, December 1, 2025, and December 1, 2026. 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 have vested or will vest in three equal amounts on each of December 1, 2025, December 1, 2026, and December 1, 2027. 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 have vested or will vest in three equal amounts on each of December 1, 2026, December 1, 2027, and December 1, 2028. The grant is subject to forfeiture and accelerated vesting in accordance with its terms.
- F5. 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.
- 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.
Key Figures
Direct common shares: 54,899 shares
RSU block: 5,150 RSUs-equivalent
Option tranche 1: 6,500 shares at $8.25
+5 more
8 metrics
Direct common shares
54,899 shares
Common Stock holdings reported on Form 3
RSU block
5,150 RSUs-equivalent
Restricted Stock Units with 515.0000 underlying shares at $0.0000 exercise price
Option tranche 1
6,500 shares at $8.25
Employee stock option exercise price $8.2500, expires 2028-10-30
Option tranche 2
15,000 shares at $8.59
Employee stock option exercise price $8.5900, expires 2029-10-30
Option tranche 3
20,000 shares at $11.84
Employee stock option exercise price $11.8400, expires 2030-10-28
Largest option block
50,000 shares at $14.60
Employee stock option exercise price $14.6000, expires 2032-11-01
Highest strike option
7,000 shares at $28.91
Employee stock option exercise price $28.9100, expires 2035-10-30
FX conversion rate
$0.006408 per JPY 1.00
Conversion rate used for this Form 3
Key Terms
Restricted Stock Units, Employee Stock Option (right to buy), vest, exercisable, +2 more
6 terms
Restricted Stock Units financial
"Each restricted stock unit ("RSU") represents a contingent right to receive one share"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Employee Stock Option (right to buy) financial
"The allocation agreement provides that the option to acquire common stock became exercisable"
vest financial
"The RSUs have vested or will vest in three equal amounts on each of December"
A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.
exercisable financial
"the option to acquire common stock became exercisable in three equal installments"
allocation agreement financial
"The allocation agreement provides that the option to acquire common stock became exercisable"
conversion rate financial
"For purposes of this Form 3, a conversion rate of USD $0.006408 for each JPY 1.00 was used"
Conversion rate is the proportion of items, people or contracts that take a desired action out of the total possible — for example the share of website visitors who make a purchase, or the number of convertible bonds that are exchanged for shares. Investors care because it measures how effectively a business or financial instrument turns opportunity into real outcomes, like sales or share issuance, which directly affects revenue, cash flow and ownership dilution.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does Tanaka Kenji’s Sony (SONY) Form 3 filing show?
The Form 3 shows Tanaka Kenji’s existing holdings in Sony common stock, restricted stock units, and employee stock options. It is an initial ownership report, not a record of new stock purchases or sales.
What restricted stock units are reported for Tanaka Kenji at Sony (SONY)?
The filing lists several restricted stock unit awards, each giving a contingent right to receive one Sony share per unit. Footnotes state they vest on dates including December 1, 2026 and in three equal installments across December vesting dates through 2028.
What stock options does Tanaka Kenji hold in Sony (SONY)?
Tanaka Kenji holds multiple employee stock options to buy Sony common stock, with exercise prices such as $8.25, $8.59, $11.84, $18.39, $14.60, $16.59, $18.89, and $28.91, expiring between 2028 and 2035.
Are Tanaka Kenji’s Sony (SONY) options already exercisable?
Footnotes explain many options became exercisable in three equal installments on specific past or future dates, such as October 31, 2020, November 20, 2021, and later dates through November 25, 2028, following the allocation agreements’ vesting schedules.
Do the Sony (SONY) RSUs and options have any special conditions?
Yes. Footnotes state RSU grants are subject to forfeiture and may vest early under certain conditions. Option allocation agreements similarly define vesting schedules, showing when options became or will become exercisable in three equal installments on specified dates.
What exchange rate is referenced in Tanaka Kenji’s Sony (SONY) Form 3?
The filing notes that, for this Form 3, a conversion rate of USD $0.006408 for each JPY 1.00 was used. This clarifies how any Japanese yen amounts referenced were converted into U.S. dollars in the disclosure.
AI-generated analysis. How Rhea-AI works. Not financial advice.
