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

Sumitomo Mitsui (NYSE: SMFG) CEO gets stock awards, auto-sells part

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(High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group President and Group CEO Toru Nakashima reported equity compensation and related transactions in the company’s common stock. On July 24, 2026 he received 3,507 shares, and on July 27, 2026 a performance-based award of 51,399 shares, both under stock compensation plans with no out-of-pocket cash payment. Also on July 27, a portion of these compensation shares, totaling 8,900 shares, was automatically disposed of back to the issuer at $43.99 per share under a pre-arranged trading plan, with the price converted from Japanese yen at JPY 1.00 = USD 0.0061091.

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Insider Nakashima Toru
Role President and Group CEO
Type Security Shares Price Value
Grant/Award Common Stock F2 51,399 -- --
Disposition Common Stock F3 8,900 $43.99 $392K
Grant/Award Common Stock F1 3,507 -- --
Holdings After Transaction: Common Stock — 162,464 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 27, 2026 51,399 shares Common stock acquired under stock compensation plan when performance conditions were certified
Stock award on July 24, 2026 3,507 shares Common stock acquired under the issuer's stock compensation plans
Automatic sale to issuer 8,900 shares Portion of compensation shares automatically disposed of on July 27, 2026 under pre-arranged plan
Sale price per share $43.99 Price for 8,900-share disposition to issuer on July 27, 2026
FX conversion rate JPY 1.00 = USD 0.0061091 Rate used to convert yen purchase price to U.S. dollars for July 27, 2026 sale
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans on July 24, 2026"
performance conditions financial
"acquired the shares under the Issuer's stock compensation plans when the performance conditions were certified"
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""
foreign currency exchange rate financial
"price was converted into U.S. dollars based on the foreign currency exchange rate"
The foreign currency exchange rate is the price of one country’s money expressed in another country’s money — like a price tag that tells you how many units of one currency you get for one unit of another. Investors care because this rate changes the value of overseas sales, costs, assets and debts when converted back into their home currency, affecting profits, valuations and the return on international investments.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What stock awards did SMFG (SMFG) President and Group CEO Toru Nakashima receive in July 2026?
Toru Nakashima received two equity awards in July 2026. On July 24 he acquired 3,507 shares, and on July 27 he received a performance-based award of 51,399 shares, all common stock granted under Sumitomo Mitsui’s stock compensation plans with no out-of-pocket cash payment.

How many SMFG (SMFG) shares were automatically sold from Toru Nakashima’s awards on July 27, 2026?
A total of 8,900 shares of SMFG common stock were automatically disposed of back to the issuer on July 27, 2026. The sale was executed under a pre-arranged trading plan and related to shares acquired under the issuer’s stock compensation plans the same day.

Did Toru Nakashima pay cash for the SMFG (SMFG) stock he acquired in these transactions?
No, Toru Nakashima did not make any out-of-pocket cash payment for the acquired shares. Both the 3,507-share grant on July 24, 2026 and the 51,399-share performance-based award on July 27, 2026 were obtained under Sumitomo Mitsui’s stock compensation plans.

What price and exchange rate applied to Toru Nakashima’s 8,900-share SMFG (SMFG) sale?
The automatic disposition of 8,900 shares on July 27, 2026 occurred at $43.99 per share. The purchase price was originally in Japanese yen and converted to U.S. dollars using an exchange rate of JPY 1.00 = USD 0.0061091.

Were Toru Nakashima’s SMFG (SMFG) share sales on July 27, 2026 discretionary?
The 8,900-share disposition on July 27, 2026 was described as an automatic sale. It occurred the same day the award was received, in accordance with a pre-arranged trading plan under Sumitomo Mitsui’s stock compensation plans, rather than as a separately timed open-market trade.
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*
Nakashima Toru
(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)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
President and Group CEO
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 Stock07/24/202607/24/2026A3,507A(1)119,965D
Common Stock07/27/202607/27/2026A51,399A(2)171,364D
Common Stock07/27/202607/27/2026D8,900D$43.99(3)162,464D
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 Toru Nakashima07/28/2026
** 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