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  4. [Form 4] SUMITOMO MITSUI FINANCIAL GROUP, INC. Insider Trading Activity

Sumitomo Mitsui (NYSE: SMFG) officer awarded shares, sells portion under plan

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group Senior Managing Corporate Executive Officer Akio Isowa reported stock-based awards and a related share disposition. He acquired 1,131 common shares on July 24, 2026 and 19,296 shares on July 27, 2026 under the issuer's stock compensation plans without out-of-pocket cash payments. On July 27, a portion of these shares, totaling 3,300, was disposed of (automatically sold) at $43.99 per share under a pre-arranged trading plan, with the sale price originally in Japanese yen and converted using an exchange rate of Japanese Yen 1.00 = U.S. dollar 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Isowa Akio
Role Senior Managing Corporate EO
Type Security Shares Price Value
Grant/Award Common Stock F2 19,296 -- --
Disposition Common Stock F3 3,300 $43.99 $145K
Grant/Award Common Stock F1 1,131 -- --
Holdings After Transaction: Common Stock — 81,603 shares (Direct)
Footnotes (3)
  1. F1. The Reporting Person acquired the shares under the Issuer's stock compensation plans on July 24, 2026. The Reporting Person did not make any out-of-pocket cash payment for the shares.
  2. F2. The Reporting Person acquired the shares under the Issuer's stock compensation plans when the performance conditions were certified on July 27, 2026. The Reporting Person did not make any out-of-pocket cash payment for the shares.
  3. F3. A portion of the shares acquired under the Issuer's stock compensation plan on July 27, 2026 was automatically sold on the same day in accordance with the pre-arranged trading plan under the Issuer's stock compensation plans. The purchase was made in Japanese Yen and the price was converted into U.S. dollars based on the foreign currency exchange rate as of July 27, 2026 (at Japanese Yen 1.00 = U.S. dollar 0.0061091).
Shares acquired July 24, 2026 1,131 shares Common stock granted under stock compensation plans; no cash payment
Shares acquired July 27, 2026 19,296 shares Common stock granted when performance conditions were certified; no cash payment
Shares disposed July 27, 2026 3,300 shares Portion of award shares automatically sold under a trading plan
Disposition price per share $43.99 Price for the 3,300 shares disposed of on July 27, 2026
FX rate used Japanese Yen 1.00 = U.S. dollar 0.0061091 Exchange rate applied to convert the share sale price into U.S. dollars
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans"
pre-arranged trading plan financial
"automatically sold on the same day in accordance with the pre-arranged trading plan"
A pre-arranged trading plan is a set of instructions created in advance that specifies how and when an investor will buy or sell securities. It helps ensure that trades are made in a planned, transparent way, reducing the risk of making impulsive decisions or trading based on inside information. This plan provides a clear structure, giving investors confidence that their trades follow their original intentions, even if market conditions change.
performance conditions financial
"acquired the shares under the Issuer's stock compensation plans when the performance conditions were certified"

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FAQ

What SMFG stock awards did Akio Isowa report in this Form 4 for SMFG?
Akio Isowa received 1,131 SMFG common shares on July 24, 2026 and 19,296 shares on July 27, 2026 as grants under Sumitomo Mitsui Financial Group's stock compensation plans, with no out-of-pocket cash payments required for either award.

How many SMFG shares did Akio Isowa dispose of and at what price?
Akio Isowa disposed of 3,300 SMFG common shares on July 27, 2026 at $43.99 per share. The transaction automatically sold a portion of his stock-compensation shares under a pre-arranged trading plan, with the price converted from Japanese yen to U.S. dollars.

Were Akio Isowa's SMFG share acquisitions cash purchases?
No, Akio Isowa did not make any out-of-pocket cash payment for the acquired SMFG shares. Both the 1,131-share award on July 24, 2026 and the 19,296-share award on July 27, 2026 were granted under Sumitomo Mitsui's stock compensation plans.

Was the SMFG share disposition by Akio Isowa under a pre-arranged plan?
Yes. The 3,300 SMFG shares disposed of on July 27, 2026 were automatically sold under a pre-arranged trading plan associated with the issuer's stock compensation plans, as described in the filing's footnote for that transaction.

What is Akio Isowa's position at Sumitomo Mitsui Financial Group (SMFG)?
Akio Isowa is identified as a Senior Managing Corporate Executive Officer of Sumitomo Mitsui Financial Group, Inc. This officer role explains why his stock awards and related share disposition in SMFG common stock are reported in a Form 4 insider transaction filing.
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*
Isowa Akio
(Last)(First)(Middle)
1-2, MARUNOUCHI 1-CHOME
(Street)
CHIYODA-KU, TOKYO100-0005
(City)(State)(Zip)
JAPAN
(Country)		2. Issuer Name and Ticker or Trading Symbol
SUMITOMO MITSUI FINANCIAL GROUP, INC. [ SMFG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Senior Managing Corporate EO
2a. Foreign Trading Symbol
[TYO:8316]
3. Date of Earliest Transaction (Month/Day/Year)
07/24/2026		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
Common Stock07/24/202607/24/2026A1,131A(1)65,607D
Common Stock07/27/202607/27/2026A19,296A(2)84,903D
Common Stock07/27/202607/27/2026D3,300D$43.99(3)81,603D
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
Explanation of Responses:
1. The Reporting Person acquired the shares under the Issuer's stock compensation plans on July 24, 2026. The Reporting Person did not make any out-of-pocket cash payment for the shares.
2. The Reporting Person acquired the shares under the Issuer's stock compensation plans when the performance conditions were certified on July 27, 2026. The Reporting Person did not make any out-of-pocket cash payment for the shares.
3. A portion of the shares acquired under the Issuer's stock compensation plan on July 27, 2026 was automatically sold on the same day in accordance with the pre-arranged trading plan under the Issuer's stock compensation plans. The purchase was made in Japanese Yen and the price was converted into U.S. dollars based on the foreign currency exchange rate as of July 27, 2026 (at Japanese Yen 1.00 = U.S. dollar 0.0061091).
/s/ Masahiro Hokura, attorney-in-fact for Akio Isowa07/28/2026
** 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