MUFG (MUFG) officer Komoriya details stock awards and 5,800 shares
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
MITSUBISHI UFJ FINANCIAL GROUP INC officer Komoriya Masatoshi has filed an initial ownership report showing stock-based compensation holdings and common shares. The filing lists stock compensation plan points that are exchangeable one-for-one into common stock, tied to the company’s long-term incentive plan.
Komoriya holds non-adjustable and performance-based points representing 5,400, 11,223 and 320 underlying shares of common stock, plus 5,800 common shares directly. According to the plan, points convert to shares after retirement or after the medium-term business plan ending March 31, 2027, with 50% of the related shares sold by a board incentive plan trust in pre-arranged open market transactions in Japan and the remainder delivered in cash and shares.
Positive
- None.
Negative
- None.
Insider Trade Summary
4 transactions reported
Mixed
4 txns
Insider
Komoriya Masatoshi
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Stock Compensation Plan Points | -- | -- | -- |
| holding | Stock Compensation Plan Points | -- | -- | -- |
| holding | Stock Compensation Plan Points | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Stock Compensation Plan Points — 5,400 shares (Direct);
Common Stock — 5,800 shares (Direct)
Footnotes (1)
- Represents the aggregate non-adjustable points held by the reporting person as of April 1, 2026 under the Issuer's stock compensation plan (the "Plan"). Subject to clawback and forfeiture for cause, each non-adjustable point held under the Plan 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 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. 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 the date hereof to June 2026. Represents the aggregate annual performance-based points held by the reporting person as of April 1, 2026. These annual performance-based points were granted on June 1, 2025, based on certain performance criteria applied during the reporting person's service period from July 2024 to June 2025 under the Plan. Subject to clawback and forfeiture for cause, each annual performance-based point received under the Plan 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. 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 pre-arranged open market sale in Japan in accordance with the Plan on the tenth business day in June 2027. Net proceeds from such sale in cash, together with the remaining 50% in shares, will be delivered to the reporting person. (Continued from footnote 3) Separate from the reported amounts, the reporting person is entitled to additional annual performance-based points based on the reporting person's performance during the service period from July 2025 to June 2026. Those annual performance points are subject to an adjustment ranging from 0% to 150% and will be determined and fixed in June 2026 and, subject to clawback and forfeiture for cause, will also be exchangeable into shares of the Issuer's common stock on a one for one basis following the end of the Issuer's current three-year medium-term business plan period ending on March 31, 2027 and delivered based on the same delivery terms as other annual performance-based points. In addition to the non-adjustable points and annual performance-based points, the reporting person is entitled to medium-term performance-based points based on the reporting person's performance during the Issuer's current three-year medium-term business plan period ending March 31, 2027. These points are subject to an adjustment ranging from 0% to 150% and will be determined and fixed following the end of the Issuer's current three-year medium-term business plan period ending on March 31, 2027. Subject to clawback and forfeiture for cause, these medium-term performance-based points will also be exchangeable into shares of the Issuer's common stock on a one for one basis following the end of the Issuer's current three-year medium-term business plan period ending on March 31, 2027 and delivered based on the same delivery terms as annual performance-based points.
Key Figures
Non-adjustable points underlying shares: 5,400 shares
Monthly-installment points underlying shares: 11,223 shares
Annual performance-based points shares: 320 shares
+5 more
8 metrics
Non-adjustable points underlying shares
5,400 shares
Aggregate non-adjustable points as of April 1, 2026
Monthly-installment points underlying shares
11,223 shares
Non-adjustable points to be received monthly to June 2026
Annual performance-based points shares
320 shares
Annual performance-based points held as of April 1, 2026
Direct common stock holding
5,800 shares
Common stock held directly as of April 1, 2026
Performance adjustment range
0%–150%
Adjustment range for additional annual and medium-term points
Medium-term plan end date
March 31, 2027
End of MUFG three-year medium-term business plan period
Annual points grant date
June 1, 2025
Grant date for annual performance-based points
Later performance period end
June 2026
End of July 2025–June 2026 service period for additional annual points
Key Terms
non-adjustable points, annual performance-based points, medium-term performance-based points, clawback and forfeiture for cause, +1 more
5 terms
non-adjustable points financial
"Represents the aggregate non-adjustable points held by the reporting person as of April 1, 2026"
annual performance-based points financial
"Represents the aggregate annual performance-based points held by the reporting person as of April 1, 2026"
medium-term performance-based points financial
"In addition to the non-adjustable points and annual performance-based points, the reporting person is entitled to medium-term performance-based points"
clawback and forfeiture for cause regulatory
"Subject to clawback and forfeiture for cause, each non-adjustable point held under the Plan 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"
FAQ
What does MUFG Form 3 for Komoriya Masatoshi report?
It reports Komoriya Masatoshi’s initial beneficial ownership in MUFG. The filing shows stock compensation plan points linked to common stock and 5,800 common shares held directly, outlining how these awards convert into shares under the issuer’s stock compensation plan.
What are MUFG non-adjustable stock compensation plan points?
Non-adjustable points are stock compensation units Komoriya holds under MUFG’s plan. Subject to clawback and forfeiture for cause, each point is exchangeable for one common share following retirement from the role on which the award was based, with delivery partly via pre-arranged share sales.
What are MUFG annual performance-based points in this filing?
Annual performance-based points were granted June 1, 2025 based on performance from July 2024 to June 2025. Each point can convert into one MUFG common share after the medium-term business plan period ending March 31, 2027, with half the related shares sold by a trust and half delivered directly.
How can MUFG performance-based points be adjusted for Komoriya?
Additional annual and medium-term performance-based points can be adjusted between 0% and 150%. Final amounts are determined in June 2026 or after the business plan period ending March 31, 2027, and then can be exchanged one-for-one into MUFG common shares under the plan terms.