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

Sumitomo Mitsui (NYSE: SMFG) officer granted shares, disposes 2,600

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

Rhea-AI Filing Summary

Senior Managing Corporate EO Akio Uemura of Sumitomo Mitsui Financial Group reported stock compensation activity. On July 24 and 27, 2026, he received awards of 1,284 and 15,249 common shares under stock compensation plans with no out-of-pocket cash. On July 27, 2,600 shares were disposed of to the issuer at $43.99 per share under a pre-arranged trading plan, with the U.S. dollar price translated from Japanese yen at ¥1 = $0.0061091.

Positive

  • None.

Negative

  • None.
Insider Uemura Akio
Role Senior Managing Corporate EO
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 1,284 -- --
Holdings After Transaction: Common Stock — 66,498 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 1,284 shares Common Stock acquired under stock compensation plans with no out-of-pocket cash payment
Stock award on July 27, 2026 15,249 shares Common Stock acquired when performance conditions were certified, with no out-of-pocket cash payment
Disposition to issuer 2,600 shares at $43.99 per share Common Stock disposed of to the issuer on July 27, 2026 under a trading plan
FX rate used for price conversion ¥1.00 = $0.0061091 Foreign currency exchange rate applied as of July 27, 2026 to convert the share price
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans on July 24, 2026"
Disposition to issuer financial
"transaction code description "Disposition to issuer" for the 2,600-share transaction"
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.
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 SMFG stock awards did Akio Uemura receive in July 2026?
Akio Uemura received SMFG stock awards of 1,284 shares on July 24, 2026 and 15,249 shares on July 27, 2026 under stock compensation plans, with the latter tied to certified performance conditions and no out-of-pocket cash payments.

How many SMFG shares did Akio Uemura dispose of on July 27, 2026?
He disposed of 2,600 SMFG common shares on July 27, 2026. The disposition was to the issuer at $43.99 per share, executed under a trading plan connected to the issuer’s stock compensation plans.

Were Akio Uemura’s July 2026 SMFG share awards cash purchases?
No. Both the 1,284 and 15,249 SMFG share awards were acquired under the issuer’s stock compensation plans, and the footnotes state Uemura made no out-of-pocket cash payment for these shares.

Was the July 27, 2026 SMFG share disposition by Akio Uemura under a trading plan?
Yes. The footnote explains that a portion of the shares acquired on July 27, 2026 was automatically disposed of according to a pre-arranged trading plan under the issuer’s stock compensation plans.

What exchange rate affected Akio Uemura’s July 27, 2026 SMFG share price?
The price for the July 27, 2026 disposition was converted from Japanese yen using a foreign currency exchange rate of ¥1.00 = $0.0061091, applied as of July 27, 2026.
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*
Uemura 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 Stock07/24/202607/24/2026A1,284A(1)53,849D
Common Stock07/27/202607/27/2026A15,249A(2)69,098D
Common Stock07/27/202607/27/2026D2,600D$43.99(3)66,498D
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 Uemura07/28/2026
** 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