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

Stock awards and planned sale for Sumitomo Mitsui (NYSE: SMFG) executive

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

Rhea-AI Filing Summary

Keiichiro Nakamura, Senior Managing Corporate Executive Officer of Sumitomo Mitsui Financial Group, Inc., reported mixed equity compensation activity. He acquired 1,154 common shares on July 24, 2026 and 19,296 shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments. On July 27, 2026, 3,300 shares were automatically sold to the issuer at $43.99 per share under a pre-arranged trading plan, with the price converted from Japanese yen at JPY 1.00 = USD 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Nakamura Keiichiro
Role Senior Managing Corporate EO
Type Security Shares Price Value
Grant/Award Common Stock F2 19,296 -- --
Disposition Common Stock F3 3,300 $43.99 $145K
Grant/Award Common Stock F1 1,154 -- --
Holdings After Transaction: Common Stock — 99,928 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 1,154 shares of Common Stock Shares acquired under issuer stock compensation plans; no out-of-pocket cash payment
Stock award on July 27, 2026 19,296 shares of Common Stock Shares acquired when performance conditions were certified; no out-of-pocket cash payment
Automatic sale on July 27, 2026 3,300 shares at $43.99 per share Portion of compensation shares automatically sold to issuer under a pre-arranged trading plan
FX rate for sale price conversion Japanese Yen 1.00 = U.S. dollar 0.0061091 Exchange rate used to convert the July 27, 2026 sale price from JPY to USD
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" for the 3,300-share sale"
performance conditions financial
"shares acquired when the performance conditions were certified on July 27, 2026"

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FAQ

What insider transactions did Keiichiro Nakamura report at SMFG?
Keiichiro Nakamura reported two stock awards and one automatic sale of Sumitomo Mitsui Financial Group common shares, all tied to the issuer’s stock compensation plans and occurring between July 24 and July 27, 2026.

How many SMFG shares did Nakamura receive as stock compensation?
Nakamura received 1,154 common shares on July 24, 2026 and 19,296 common shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments required for either grant.

What was the SMFG share sale reported on July 27, 2026?
On July 27, 2026, 3,300 SMFG common shares were automatically disposed of to the issuer at $43.99 per share, as part of an automatic sale under the issuer’s stock compensation arrangements.

Did Nakamura pay cash for the SMFG shares he acquired?
No. The filing states Nakamura did not make any out-of-pocket cash payment for the 1,154 shares acquired on July 24, 2026 or the 19,296 shares acquired on July 27, 2026 under stock compensation plans.

Was the July 27, 2026 SMFG share sale under a pre-arranged plan?
Yes. The filing notes that a portion of the shares acquired on July 27, 2026 was automatically sold the same day under a pre-arranged trading plan within the issuer’s stock compensation plans.

How was the SMFG sale price converted from Japanese yen to U.S. dollars?
The automatic sale price on July 27, 2026 was converted using an exchange rate of Japanese Yen 1.00 = U.S. dollar 0.0061091, producing a reported per-share price of $43.99 in the Form 4.
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*
Nakamura Keiichiro
(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 Stock07/24/202607/24/2026A1,154A(1)83,932D
Common Stock07/27/202607/27/2026A19,296A(2)103,228D
Common Stock07/27/202607/27/2026D3,300D$43.99(3)99,928D
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 Keiichiro Nakamura07/28/2026
** 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