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Sumitomo Mitsui (SMFG) director gets 20,748-share award, disposes 3,500

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

Rhea-AI Filing Summary

Sumitomo Mitsui Financial Group director Mikami Takeshi received stock awards of 1,644 and 20,748 common shares on July 24 and July 27, 2026 under stock compensation plans, with no out-of-pocket cash payments. On July 27, 3,500 shares were disposed of to the issuer at $43.99 per share under a pre-arranged trading plan, with the price translated from yen at Japanese Yen 1.00 = U.S. dollar 0.0061091.

Positive

  • None.

Negative

  • None.
Insider Mikami Takeshi
Role Director
Type Security Shares Price Value
Grant/Award Common Stock F2 20,748 -- --
Disposition Common Stock F3 3,500 $43.99 $154K
Grant/Award Common Stock F1 1,644 -- --
Holdings After Transaction: Common Stock — 129,172 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 1,644 shares Common stock acquired under issuer stock compensation plans; no cash payment
Stock award on July 27, 2026 20,748 shares Common stock acquired when performance conditions certified; no cash payment
Disposition to issuer on July 27, 2026 3,500 shares at $43.99 per share Portion of July 27 award automatically sold under pre-arranged trading plan
FX rate used for price conversion Japanese Yen 1.00 = U.S. dollar 0.0061091 Exchange rate applied to convert yen purchase price into 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_description": "Disposition to issuer""
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
"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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FAQ

What stock awards did SMFG director Mikami Takeshi receive?
Mikami Takeshi received two stock awards: 1,644 shares of common stock on July 24, 2026 and 20,748 shares on July 27, 2026, both granted under Sumitomo Mitsui Financial Group’s stock compensation plans without any out-of-pocket cash payments.

What share disposition was reported in this SMFG Form 4 filing?
The filing reports a disposition of 3,500 shares of common stock on July 27, 2026, classified as a disposition to the issuer. This disposition involved shares acquired under the stock compensation plan and occurred the same day as the larger stock award.

At what price were the 3,500 SMFG shares disposed of by Mikami Takeshi?
The 3,500 shares were disposed of at $43.99 per share. The purchase price was originally in Japanese yen and was converted into U.S. dollars using a foreign currency exchange rate of Japanese Yen 1.00 = U.S. dollar 0.0061091 as of July 27, 2026.

Did Mikami Takeshi pay cash for the SMFG stock awards?
No, Mikami did not make any out-of-pocket cash payments for the stock awards. Both the 1,644-share award on July 24, 2026 and the 20,748-share award on July 27, 2026 were acquired under Sumitomo Mitsui Financial Group’s stock compensation plans.

Was the SMFG share disposition part of a pre-arranged trading plan?
Yes. A portion of the shares acquired on July 27, 2026 was automatically sold the same day under a pre-arranged trading plan established within the issuer’s stock compensation plans, according to the transaction footnote.

What types of transactions are disclosed for SMFG director Mikami Takeshi?
The disclosure shows two stock award acquisitions (1,644 and 20,748 shares) and one disposition to the issuer of 3,500 shares. All transactions involve SMFG common stock and relate to the company’s stock compensation plans.
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*
Mikami Takeshi
(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 Stock07/24/202607/24/2026A1,644A(1)111,924D
Common Stock07/27/202607/27/2026A20,748A(2)132,672D
Common Stock07/27/202607/27/2026D3,500D$43.99(3)129,172D
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 Takeshi Mikami07/28/2026
** 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