Uemura Akio 4

4 · SUMITOMO MITSUI FINANCIAL GROUP, INC. · Filed Jul 28, 2026

AI-generated summary of this filing

Updated Jul 28, 2026

SMFG Senior Managing Executive Akio Uemura Receives Awards, Sells Shares

What Happened

Akio Uemura, Senior Managing Corporate Executive of SUMITOMO MITSUI FINANCIAL GROUP (SMFG), was granted a total of 16,533 shares under the issuer's stock compensation plans (1,284 on 2026-07-24 and 15,249 on 2026-07-27). No out-of-pocket cash was paid for these awards.
On 2026-07-27, 2,600 of the shares were disposed to the issuer (sold) at $43.99 per share, generating proceeds of $114,374. The filing notes this sale was an automatic disposition in accordance with a pre-arranged trading plan tied to the compensation award.

Key Details

Transaction dates and amounts:
- 2026-07-24: Award of 1,284 shares (no cash paid). (Footnote F1)
- 2026-07-27: Award of 15,249 shares upon certification of performance conditions (no cash paid). (Footnote F2)
- 2026-07-27: Disposition to issuer of 2,600 shares at $43.99/share — proceeds $114,374. (Footnote F3)
Currency conversion: Awards/purchases were made in JPY; USD amounts used the July 27, 2026 rate (JPY 1.00 = USD 0.0061091). (F3)
Shares owned after the transactions: Not disclosed in the filing.
Notable footnotes: Awards were granted under the issuer's stock compensation plans with no cash payment; part of the July 27 award was automatically sold the same day per a pre-arranged trading plan.
Filing date: Report filed 2026-07-28 for transactions through 2026-07-27 (no late-filing flag indicated).

Context

These were stock compensation awards (not open-market purchases). Awards are standard executive compensation; the simultaneous automatic sale appears to have been executed per a pre-arranged plan (often used to satisfy tax/withholding or liquidity needs), but the filing does not state the sale’s specific purpose.
For retail investors: awards increase the insider's position on paper without cash outlay; automatic sales under a plan are routine and do not necessarily signal discretionary selling intent.

Form 4

Period: 2026-07-24

Senior Managing Corporate EO

Transactions

Award
Common Stock
[F1]
2026-07-24+1,284→ 53,849 total
Award
Common Stock
[F2]
2026-07-27+15,249→ 69,098 total
Disposition to Issuer
Common Stock
[F3]
2026-07-27$43.99/sh−2,600$114,374→ 66,498 total

Footnotes (3)

[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.
[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.
[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).

Signature

/s/ Masahiro Hokura, attorney-in-fact for Akio Uemura|2026-07-28

1 file