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

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group executive Yoshikawa Haruyuki, Senior Managing Corporate EO, reported stock-compensation related transactions in common stock. He acquired 3,833 shares on July 24, 2026 and 13,797 shares on July 27, 2026 under the issuer's stock compensation plans with no out-of-pocket cash payments. On July 27, 2,300 shares were disposed of to the issuer at $43.99 per share, automatically executed that day under a pre-arranged trading plan linked to the stock compensation plan, with the price converted from Japanese yen.

Positive

  • None.

Negative

  • None.
Insider Yoshikawa Haruyuki
Role Senior Managing Corporate EO
Type Security Shares Price Value
Grant/Award Common Stock F2 13,797 -- --
Disposition Common Stock F3 2,300 $43.99 $101K
Grant/Award Common Stock F1 3,833 -- --
Holdings After Transaction: Common Stock — 52,982 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 July 24, 2026 3,833 shares Common stock acquired under issuer's stock compensation plans with no cash payment
Stock award July 27, 2026 13,797 shares Common stock acquired when performance conditions were certified under stock compensation plans
Shares disposed July 27, 2026 2,300 shares Common stock disposed of to issuer, automatically sold under a pre-arranged trading plan
Disposition price $43.99 per share Price for 2,300-share disposition on July 27, 2026, converted from Japanese yen
FX rate used Japanese Yen 1.00 = U.S. dollar 0.0061091 Foreign currency exchange rate applied to convert disposition price into U.S. dollars
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans on July 24, 2026"
pre-arranged trading plan regulatory
"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""
Senior Managing Corporate EO financial
"officer_title": "Senior Managing Corporate EO""

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FAQ

What insider transactions did Yoshikawa Haruyuki report for SUMITOMO MITSUI FINANCIAL GROUP, INC. (SMFG)?
Yoshikawa Haruyuki reported three common stock transactions for SMFG. He acquired 3,833 shares on July 24, 2026 and 13,797 shares on July 27, 2026 via stock compensation, and 2,300 shares were disposed of to the issuer on July 27, 2026.

How many SMFG shares were granted to Yoshikawa Haruyuki as stock compensation?
He received 17,630 shares of SMFG common stock in total as stock compensation awards: 3,833 shares on July 24, 2026 and 13,797 shares on July 27, 2026, all acquired under the issuer's stock compensation plans without any out-of-pocket cash payments.

What were the details of the 2,300 SMFG shares disposed of on July 27, 2026?
On July 27, 2026, 2,300 shares of SMFG common stock were disposed of to the issuer at $43.99 per share. The transaction was automatically executed as part of a pre-arranged trading plan under the issuer's stock compensation plans.

Were Yoshikawa Haruyuki’s SMFG stock transactions made under a pre-arranged plan?
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, according to the transaction footnote describing the disposition of 2,300 shares.

Did Yoshikawa Haruyuki pay cash for the SMFG shares acquired in July 2026?
No, he did not make any out-of-pocket cash payment for the shares acquired. Both the 3,833-share award on July 24, 2026 and the 13,797-share award on July 27, 2026 were granted under SMFG's stock compensation plans.

How was the $43.99 per share price for the SMFG disposition calculated?
The $43.99 per share price for the 2,300 shares disposed of on July 27, 2026 was based on a purchase in Japanese yen, converted to U.S. dollars using an exchange rate of JPY 1.00 = USD 0.0061091 as stated in the footnote.
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*
Yoshikawa Haruyuki
(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 Stock07/24/202607/24/2026A3,833A(1)41,485D
Common Stock07/27/202607/27/2026A13,797A(2)55,282D
Common Stock07/27/202607/27/2026D2,300D$43.99(3)52,982D
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 Haruyuki Yoshikawa07/28/2026
** 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