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Sumitomo Mitsui (NYSE: SMFG) CFO logs stock grants and auto sale

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group director and Sr. Mg. Corp. EO & Group CFO Kazuyuki Anchi reported stock compensation activity. On July 24, 2026 he acquired 1,197 common shares, and on July 27 he acquired 15,249 shares with no out-of-pocket cash payments, then automatically sold 2,600 shares back to the issuer at $43.99 per share under a pre-arranged trading plan.

Positive

  • None.

Negative

  • None.
Insider Anchi Kazuyuki
Role Sr. Mg. Corp. EO & Group CFO
Type Security Shares Price Value
Grant/Award Common Stock F2 15,249 -- --
Disposition Common Stock F3 2,600 $43.99 $114K
Grant/Award Common Stock F1 1,197 -- --
Holdings After Transaction: Common Stock — 52,857 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 grant July 24, 2026 1,197 shares Common stock acquired under stock compensation plan on July 24, 2026
Performance grant July 27, 2026 15,249 shares Common stock acquired when performance conditions were certified on July 27, 2026
Disposition to issuer July 27, 2026 2,600 shares Portion of shares automatically sold to issuer under pre-arranged plan
Sale price per share $43.99 per share Price for the 2,600 shares disposed of on July 27, 2026
FX rate used Japanese Yen 1.00 = U.S. dollar 0.0061091 Exchange rate applied to convert yen price to U.S. dollars on July 27, 2026
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans"
pre-arranged trading plan financial
"in accordance with the pre-arranged trading plan under the Issuer's stock compensation plans"
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 is "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.

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FAQ

What stock grants did SMFG's Kazuyuki Anchi receive in July 2026?
Kazuyuki Anchi received two stock grants, acquiring 1,197 SMFG common shares on July 24, 2026 and 15,249 shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments required for either grant.

How many SMFG shares did Kazuyuki Anchi dispose of on July 27, 2026?
On July 27, 2026, Kazuyuki Anchi disposed of 2,600 SMFG common shares. The disposition was to the issuer and related to shares acquired under the issuer’s stock compensation plan on the same day.

At what price were Kazuyuki Anchi's disposed SMFG shares transacted?
The 2,600 SMFG shares disposed of on July 27, 2026 were transacted at $43.99 per share. The purchase was made in Japanese yen and converted to U.S. dollars using an exchange rate of 1 yen = 0.0061091 dollars.

Did Kazuyuki Anchi pay cash for his SMFG stock compensation shares?
No. For both the 1,197 shares acquired on July 24, 2026 and the 15,249 shares acquired on July 27, 2026 under SMFG’s stock compensation plans, the filing states that Kazuyuki Anchi made no out-of-pocket cash payment.

Were Kazuyuki Anchi's SMFG share sales under a pre-arranged plan?
Yes. The filing notes that a portion of the shares acquired on July 27, 2026, totaling 2,600 shares, was automatically sold the same day in accordance with a pre-arranged trading plan under SMFG’s stock compensation plans.

What foreign exchange rate was used for Kazuyuki Anchi's SMFG share transaction?
The transaction involving 2,600 SMFG shares used a foreign exchange rate of Japanese Yen 1.00 = U.S. dollar 0.0061091 as of July 27, 2026 to convert the yen purchase price into U.S. dollars.
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*
Anchi Kazuyuki
(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)
Sr. Mg. Corp. EO & Group CFO
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 Stock07/24/202607/24/2026A1,197A(1)40,208D
Common Stock07/27/202607/27/2026A15,249A(2)55,457D
Common Stock07/27/202607/27/2026D2,600D$43.99(3)52,857D
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 Kazuyuki Anchi07/28/2026
** 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