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

Sumitomo Mitsui (SMFG) executive logs stock grants and automatic share sale

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group officer Yukihiro Mabuchi reported equity compensation and a related share sale. He received 1,339 common shares on July 24, 2026 and 16,596 shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments.

On July 27, 2026, 2,800 of the awarded shares were automatically sold the same day under a pre-arranged trading plan at $43.99 per share, with the price converted from Japanese yen using a rate of JPY 1.00 = USD 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Mabuchi Yukihiro
Role Senior Managing Corporate EO
Type Security Shares Price Value
Grant/Award Common Stock F2 16,596 -- --
Disposition Common Stock F3 2,800 $43.99 $123K
Grant/Award Common Stock F1 1,339 -- --
Holdings After Transaction: Common Stock — 75,487 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 1 1,339 shares Common Stock granted on July 24, 2026 under stock compensation plan
Stock award 2 16,596 shares Common Stock granted on July 27, 2026 under stock compensation plan
Shares disposed 2,800 shares Common Stock automatically sold on July 27, 2026
Sale price $43.99 per share Per-share price for 2,800 shares sold on July 27, 2026
FX rate JPY 1.00 = USD 0.0061091 Exchange rate used to convert sale price on July 27, 2026
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 insider transactions did SMFG executive Yukihiro Mabuchi report on this Form 4?
Yukihiro Mabuchi reported two stock awards and one related sale. He received 1,339 shares on July 24, 2026 and 16,596 shares on July 27, 2026, then 2,800 of those shares were automatically sold on July 27, 2026 under a pre-arranged plan.

How many SMFG shares were granted to Yukihiro Mabuchi as stock compensation?
Mabuchi received a total of 17,935 common shares as stock compensation. This comprised 1,339 shares granted on July 24, 2026 and 16,596 shares granted on July 27, 2026, all under Sumitomo Mitsui Financial Group’s stock compensation plans without any out-of-pocket cash payments.

How many SMFG shares did Yukihiro Mabuchi dispose of, and at what price?
Mabuchi disposed of 2,800 common shares on July 27, 2026 at $43.99 per share. The shares were automatically sold that day in connection with the stock compensation plan, with the U.S. dollar price converted from Japanese yen at a stated exchange rate.

Was Yukihiro Mabuchi’s SMFG share sale made under a trading plan?
Yes. A footnote states 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 Sumitomo Mitsui Financial Group’s stock compensation plans.

Did Yukihiro Mabuchi pay cash for the SMFG shares he acquired?
No. Footnotes explain that Mabuchi acquired the awarded shares under stock compensation plans and did not make any out-of-pocket cash payment for the shares granted on July 24, 2026 and July 27, 2026.

What foreign exchange rate was used for Yukihiro Mabuchi’s SMFG share sale?
The sale price was calculated using a foreign exchange rate of Japanese yen 1.00 = U.S. dollar 0.0061091. The purchase was made in Japanese yen and then converted into U.S. dollars based on this rate 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*
Mabuchi Yukihiro
(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 Stock07/24/202607/24/2026A1,339A(1)61,691D
Common Stock07/27/202607/27/2026A16,596A(2)78,287D
Common Stock07/27/202607/27/2026D2,800D$43.99(3)75,487D
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 Yukihiro Mabuchi07/28/2026
** 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