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Sumitomo Mitsui Financial (NYSE: SMFG) exec gets 15,249-share award, 2,600 sold

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group, Inc. executive Arihiro Nagata, Senior Managing Corporate EO, received 1,241 shares on July 24, 2026 and 15,249 shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments.

On July 27, 2,600 of the compensation shares were disposed of to the issuer at $43.99 per share under a pre-arranged trading plan, with the purchase price converted from Japanese yen using an exchange rate of ¥1 = $0.0061091.

Positive

  • None.

Negative

  • None.
Insider Nagata Arihiro
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 1,241 -- --
Holdings After Transaction: Common Stock — 55,134 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 1,241 shares Shares acquired under the issuer's stock compensation plans; no out-of-pocket cash payment
Stock award on July 27, 2026 15,249 shares Shares acquired when performance conditions were certified under stock compensation plans; no out-of-pocket cash payment
Disposition to issuer 2,600 shares Automatically sold on July 27, 2026 under a pre-arranged trading plan tied to compensation shares
Disposition price per share $43.99 Per-share price for 2,600 shares disposed of to the issuer on July 27, 2026
FX conversion rate ¥1.00 = $0.0061091 Exchange rate used to convert the yen purchase price for the 2,600-share disposition 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 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
"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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Form 4 Insider Transactions: What Each Field Means →

FAQ

What insider share transactions did SMFG executive Arihiro Nagata report?
Arihiro Nagata reported two stock awards and one disposition. He received 1,241 shares on July 24, 2026 and 15,249 shares on July 27, 2026, then disposed of 2,600 shares to the issuer on July 27, 2026.

How many SMFG shares were granted to Arihiro Nagata as compensation?
Nagata received 1,241 shares on July 24, 2026 and 15,249 shares on July 27, 2026. Both grants were under stock compensation plans, and the filing states he made no out-of-pocket cash payments for these shares.

What are the details of the 2,600 SMFG shares disposed of on July 27, 2026?
On July 27, 2026, 2,600 shares were disposed of to the issuer at $43.99 per share. The filing explains this was an automatic sale under a pre-arranged trading plan connected to the stock compensation plan.

Were the SMFG stock compensation awards paid for in cash by Arihiro Nagata?
The filing states that for both the 1,241-share and 15,249-share awards, Nagata did not make any out-of-pocket cash payment. The shares were acquired under Sumitomo Mitsui Financial Group’s stock compensation plans.

How was foreign exchange handled in Arihiro Nagata’s SMFG share disposition?
For the 2,600-share disposition on July 27, 2026, the purchase was made in Japanese yen. The reported $43.99 per-share price was converted using an exchange rate of ¥1.00 = $0.0061091 as of that date.
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*
Nagata Arihiro
(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 Stock07/24/202607/24/2026A1,241A(1)42,485D
Common Stock07/27/202607/27/2026A15,249A(2)57,734D
Common Stock07/27/202607/27/2026D2,600D$43.99(3)55,134D
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 Arihiro Nagata07/28/2026
** 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