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

Sumitomo Mitsui (NYSE: SMFG) director logs stock grants and automatic sale

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group director Honami Matsugasaki received equity compensation and related share transactions. On July 24, 2026, Matsugasaki acquired 305 shares of common stock under stock compensation plans with no out-of-pocket cash payment. On July 27, 2026, an additional 8,372 shares were acquired when performance conditions were certified, also without cash payment, and 4,100 shares were disposed of to the issuer at $43.99 per share. A footnote states that a portion of the July 27 shares was automatically sold the same day under a pre-arranged trading plan, with the price converted from Japanese yen at an exchange rate of ¥1.00 = $0.0061091.

Positive

  • None.

Negative

  • None.
Insider Matsugasaki Honami
Role Director
Type Security Shares Price Value
Grant/Award Common Stock F2 8,372 -- --
Disposition Common Stock F3 4,100 $43.99 $180K
Grant/Award Common Stock F1 305 -- --
Holdings After Transaction: Common Stock — 34,202 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 305 shares Common stock acquired under stock compensation plans; no cash payment
Performance-based award on July 27, 2026 8,372 shares Common stock acquired upon certification of performance conditions; no cash payment
Shares disposed on July 27, 2026 4,100 shares Disposition to issuer tied to stock compensation plan
Disposition price per share $43.99 per share Price for 4,100-share disposition on July 27, 2026
FX rate for price conversion ¥1.00 = $0.0061091 Exchange rate used to convert Japanese yen sale price to 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.
disposition to issuer financial
"transaction_code_description": "Disposition to issuer""
foreign currency exchange rate financial
"based on the foreign currency exchange rate as of July 27, 2026"
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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Form 4 Insider Transactions: What Each Field Means →

FAQ

What transactions did SMFG director Honami Matsugasaki report on this Form 4?
Honami Matsugasaki reported two stock awards and one disposition of Sumitomo Mitsui Financial Group common stock, all occurring between July 24 and July 27, 2026, under the issuer’s stock compensation plans.

How many SMFG shares did Honami Matsugasaki acquire as stock compensation?
Matsugasaki acquired 305 shares on July 24, 2026 and 8,372 shares on July 27, 2026. Both acquisitions were made under SMFG’s stock compensation plans without any out-of-pocket cash payment by the reporting person.

What SMFG share disposition did Honami Matsugasaki report and at what price?
On July 27, 2026, Matsugasaki reported a disposition of 4,100 shares of SMFG common stock at $43.99 per share. The transaction is coded as a disposition to the issuer and tied to shares acquired under stock compensation plans.

Were Honami Matsugasaki’s SMFG share sales under a pre-arranged plan?
Yes. A footnote explains that a portion of the shares acquired on July 27, 2026 was automatically sold the same day under a pre-arranged trading plan associated with SMFG’s stock compensation plans.

Did Honami Matsugasaki pay cash to acquire the SMFG stock awards?
No. The footnotes state that for both the 305-share grant on July 24, 2026 and the 8,372-share grant on July 27, 2026, Matsugasaki did not make any out-of-pocket cash payment for the shares.

What foreign exchange rate was used for Honami Matsugasaki’s SMFG share sale price?
The sale price was originally in Japanese yen and converted using an exchange rate of ¥1.00 = $0.0061091 as of July 27, 2026, according to the footnote describing the automatically executed sale.
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*
Matsugasaki Honami
(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
Officer (give title below)Other (specify below)
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 Stock07/24/202607/24/2026A305A(1)29,930D
Common Stock07/27/202607/27/2026A8,372A(2)38,302D
Common Stock07/27/202607/27/2026D4,100D$43.99(3)34,202D
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 Honami Matsugasaki07/28/2026
** 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