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

Sumitomo Mitsui Financial Group (NYSE: SMFG) director gets stock awards and sells shares

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

Rhea-AI Filing Summary

SUMITOMO MITSUI FINANCIAL GROUP director Takashima Makoto reported equity compensation and a related share disposition. He acquired 2,279 shares on July 24, 2026 and a performance-based award of 41,166 shares on July 27, 2026 under stock compensation plans, with no out-of-pocket cash payment. On July 27, 7,100 shares were disposed of at $43.99 per share; a footnote states these shares were automatically sold the same day under a pre-arranged trading plan, with the price originally in Japanese yen and converted to U.S. dollars at JPY 1.00 = USD 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Takashima Makoto
Role Director
Type Security Shares Price Value
Grant/Award Common Stock F2 41,166 -- --
Disposition Common Stock F3 7,100 $43.99 $312K
Grant/Award Common Stock F1 2,279 -- --
Holdings After Transaction: Common Stock — 251,600 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).
Shares granted July 27, 2026 41,166 shares Equity award under stock compensation plans when performance conditions were certified
Shares granted July 24, 2026 2,279 shares Equity award under the issuer's stock compensation plans
Shares disposed July 27, 2026 7,100 shares Disposition to issuer at $43.99 per share, automatically sold under a pre-arranged plan
Share sale price $43.99 per share Price for the 7,100-share disposition on July 27, 2026
FX conversion rate JPY 1.00 = USD 0.0061091 Rate used to convert the yen share price to U.S. dollars on July 27, 2026
stock compensation plans financial
"acquired the shares under the Issuer's stock compensation plans on July 24, 2026"
Disposition to issuer financial
"transaction code D with description Disposition to issuer for 7,100 shares"
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.
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 Takashima Makoto report for SMFG on this Form 4?
Takashima Makoto reported two stock awards and one share disposition involving Sumitomo Mitsui Financial Group common stock. He received shares under stock compensation plans and disposed of a portion on July 27, 2026 at a specified per-share price.

How many SMFG shares were granted to Takashima Makoto and on which dates?
He acquired 2,279 shares on July 24, 2026 and a performance-based award of 41,166 shares on July 27, 2026. Both grants were made under Sumitomo Mitsui Financial Group’s stock compensation plans, according to the footnotes.

Did Takashima Makoto pay cash for the SMFG shares he acquired?
No. Footnotes state he did not make any out-of-pocket cash payment for either the 2,279-share award on July 24, 2026 or the 41,166-share performance-based award on July 27, 2026, as both came through stock compensation plans.

What SMFG share sale did Takashima Makoto report, and at what price?
He reported a disposition of 7,100 shares of Sumitomo Mitsui Financial Group common stock on July 27, 2026 at $43.99 per share. A footnote explains these shares were automatically sold that day under a pre-arranged trading plan.

How was foreign currency handled in Takashima Makoto’s SMFG share sale?
A footnote explains the share transaction price was originally in Japanese yen and converted into U.S. dollars using an exchange rate of JPY 1.00 = USD 0.0061091 as of July 27, 2026 for reporting purposes.

Was the SMFG share sale part of a pre-arranged trading plan?
Yes. A footnote states a portion of shares acquired on July 27, 2026 was automatically sold the same day in accordance with a pre-arranged trading plan under Sumitomo Mitsui Financial Group’s stock compensation plans, without citing Rule 10b5-1.
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*
Takashima Makoto
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
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 Stock07/24/202607/24/2026A2,279A(1)217,534D
Common Stock07/27/202607/27/2026A41,166A(2)258,700D
Common Stock07/27/202607/27/2026D7,100D$43.99(3)251,600D
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 Makoto Takashima07/28/2026
** 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