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

Sumitomo Mitsui (NYSE: SMFG) grants stock, auto-sells part under plan

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

Rhea-AI Filing Summary

SUMITOMO MITSUI FINANCIAL GROUP, INC. reported that Senior Managing Corporate EO Hideki Takamatsu received stock awards and disposed of a portion to the issuer. On July 24, 2026 he was granted 1,131 shares of common stock under stock compensation plans with no out-of-pocket cash payment. On July 27, 2026 he acquired an additional 12,549 shares when performance conditions were certified, also without cash payment, and 2,100 shares were automatically sold back to the issuer at $43.9900 per share in a transaction executed in Japanese yen and converted to U.S. dollars under a pre-arranged trading plan.

Positive

  • None.

Negative

  • None.
Insider Takamatsu Hideki
Role Senior Managing Corporate EO
Type Security Shares Price Value
Grant/Award Common Stock F2 12,549 -- --
Disposition Common Stock F3 2,100 $43.99 $92K
Grant/Award Common Stock F1 1,131 -- --
Holdings After Transaction: Common Stock — 59,115 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).
Stock award on July 24, 2026 1,131 shares Common Stock granted under stock compensation plan; no cash payment
Stock award on July 27, 2026 12,549 shares Common Stock acquired when performance conditions were certified; no cash payment
Shares sold to issuer on July 27, 2026 2,100 shares Automatically sold back to issuer under stock compensation plan
Sale price per share $43.9900 Price per share for 2,100 shares sold on July 27, 2026
FX rate JPY to USD 0.0061091 Japanese Yen 1.00 = U.S. dollar 0.0061091 for currency conversion
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.
Disposition to issuer financial
"transaction_code_description: Disposition to issuer"

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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider transactions did Sumitomo Mitsui (SMFG) report for Hideki Takamatsu?
Sumitomo Mitsui (SMFG) reported that Senior Managing Corporate EO Hideki Takamatsu received two stock awards and sold part back to the issuer. He was granted 1,131 shares on July 24, 2026 and 12,549 shares on July 27, 2026, then 2,100 shares were automatically sold.

Were the SMFG stock awards to Hideki Takamatsu paid for in cash?
No, the SMFG stock awards involved no out-of-pocket cash payment by Hideki Takamatsu. Footnotes state both the 1,131-share grant on July 24, 2026 and the 12,549-share award on July 27, 2026 were acquired under stock compensation plans without cash payment.

At what price were Hideki Takamatsu’s SMFG shares sold on July 27, 2026?
On July 27, 2026, 2,100 SMFG shares associated with Hideki Takamatsu were sold back to the issuer at $43.9900 per share. The purchase was made in Japanese yen and the per-share price was converted into U.S. dollars using the stated foreign exchange rate.

How does the foreign exchange rate affect the SMFG Form 4 transactions?
The sale price of SMFG shares was calculated in yen and then converted into U.S. dollars. Footnotes specify an exchange rate of Japanese Yen 1.00 = U.S. dollar 0.0061091, which was used to derive the reported dollar price of $43.9900 per share on July 27, 2026.

Were the SMFG shares sold by Hideki Takamatsu part of a pre-arranged plan?
Yes. The Form 4 footnote explains that a portion of the shares acquired on July 27, 2026 was automatically sold the same day. The 2,100 shares were sold back to the issuer under a pre-arranged trading plan within the issuer’s stock compensation plans.

What role does Hideki Takamatsu hold at Sumitomo Mitsui (SMFG)?
In this SMFG Form 4, Hideki Takamatsu is identified as a Senior Managing Corporate EO. The reported transactions reflect stock compensation activity and an automatic sale to the issuer rather than open-market buying or selling by him personally.
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*
Takamatsu Hideki
(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)48,666D
Common Stock07/27/202607/27/2026A12,549A(2)61,215D
Common Stock07/27/202607/27/2026D2,100D$43.99(3)59,115D
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 Hideki Takamatsu07/28/2026
** 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