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

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

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group, Inc. reports that Senior Managing Corporate EO Fumihiko Ito received stock awards and an automatic sale under its stock compensation plans. On July 24, 2026, he acquired 1,339 shares, and on July 27, 2026, he acquired 19,296 shares, all without any out-of-pocket cash payment. On July 27, 2026, 3,300 shares were disposed of to the issuer under a pre-arranged trading plan at $43.99 per share, with the price converted from Japanese yen using an exchange rate of JPY 1.00 = USD 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Ito Fumihiko
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 1,339 -- --
Holdings After Transaction: Common Stock — 89,752 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 1,339 shares Common stock acquired under issuer's stock compensation plans on July 24, 2026
Stock award on July 27, 2026 19,296 shares Common stock acquired when performance conditions were certified on July 27, 2026
Shares disposed of on July 27, 2026 3,300 shares Common stock disposed of to issuer under pre-arranged trading plan on July 27, 2026
Disposition price per share $43.99 per share Price for 3,300-share disposition, converted from Japanese yen as of July 27, 2026
FX conversion rate JPY 1.00 = USD 0.0061091 Exchange rate used to convert the yen purchase price into U.S. dollars on July 27, 2026
stock compensation plans financial
"The Reporting Person 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"
Senior Managing Corporate EO financial
"Reporting person is an officer with title Senior Managing Corporate EO"

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FAQ

What stock awards did SMFG executive Fumihiko Ito receive in July 2026?
Fumihiko Ito received two stock awards under Sumitomo Mitsui’s stock compensation plans: 1,339 shares on July 24, 2026 and 19,296 shares on July 27, 2026. According to the disclosure, he made no out-of-pocket cash payments for either award.

At what price were the 3,300 SMFG shares disposed of on July 27, 2026?
The 3,300 shares were disposed of at $43.99 per share. The purchase was originally made in Japanese yen, then converted to U.S. dollars using an exchange rate of JPY 1.00 = USD 0.0061091 as of July 27, 2026.

Did Fumihiko Ito pay cash for the SMFG stock awards he acquired?
No. The filing states that Ito did not make any out-of-pocket cash payment for either the 1,339 shares acquired on July 24, 2026 or the 19,296 shares acquired when performance conditions were certified on July 27, 2026.

Were the SMFG share transactions by Fumihiko Ito part of a pre-arranged plan?
A portion of the shares acquired on July 27, 2026, specifically 3,300 shares, was automatically disposed of under a pre-arranged trading plan within the issuer’s stock compensation plans, according to the transaction footnote and without discretionary timing by the insider.
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*
Ito Fumihiko
(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)73,756D
Common Stock07/27/202607/27/2026A19,296A(2)93,052D
Common Stock07/27/202607/27/2026D3,300D$43.99(3)89,752D
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 Fumihiko Ito07/28/2026
** 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