0000950123-20-004730.txt : 20200514
0000950123-20-004730.hdr.sgml : 20200514
20200514062316
ACCESSION NUMBER: 0000950123-20-004730
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200514
DATE AS OF CHANGE: 20200514
EFFECTIVENESS DATE: 20200514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SUMITOMO MITSUI FINANCIAL GROUP, INC.
CENTRAL INDEX KEY: 0001022837
STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029]
IRS NUMBER: 000000000
STATE OF INCORPORATION: M0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17794
FILM NUMBER: 20875205
BUSINESS ADDRESS:
STREET 1: 1-2, MARUNOUCHI 1-CHOME
STREET 2: CHIYODA-KU
CITY: TOKYO
STATE: M0
ZIP: 100-0005
BUSINESS PHONE: 81-3-3282-8111
MAIL ADDRESS:
STREET 1: 1-2, MARUNOUCHI 1-CHOME
STREET 2: CHIYODA-KU
CITY: TOKYO
STATE: M0
ZIP: 100-0005
FORMER COMPANY:
FORMER CONFORMED NAME: SUMITOMO MITSUI FINANCIAL GROUP/FI
DATE OF NAME CHANGE: 20021226
FORMER COMPANY:
FORMER CONFORMED NAME: SUMITOMO BANK LTD TOKYO /FI
DATE OF NAME CHANGE: 19960913
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001022837
XXXXXXXX
03-31-2020
03-31-2020
SUMITOMO MITSUI FINANCIAL GROUP, INC.
1-2, MARUNOUCHI 1-CHOME
CHIYODA-KU
TOKYO
M0
100-0005
13F HOLDINGS REPORT
028-17794
N
Akihiro Kawara
General Manager Planning Dept, Global Markets Busines Unit
81-3-6706-6576
/s/ Akihiro Kawara
Tokyo
M0
05-14-2020
2
140
203310
false
1
Sumitomo Mitsui Banking Corporation
2
SMBC Trust Bank Ltd.
INFORMATION TABLE
2
form13fInfoTable.xml
INFORMATION TABLE FOR FORM 13F
ADVANCED MICRO DEVICES INC
COM
007903107
2505
52336
SH
SOLE
52336
0
0
ADVANCED MICRO DEVICES INC
CALL
007903907
6157
903043
SH
Call
SOLE
903043
0
0
ADVANCED MICRO DEVICES INC
PUT
007903957
5227
1243500
SH
Put
SOLE
1243500
0
0
AIR PRODS & CHEMS INC
COM
009158106
3135
15706
SH
SOLE
15706
0
0
ALPHABET INC
CAP STK CL C
02079K107
4307
3704
SH
SOLE
3704
0
0
ALPHABET INC
CAP STK CL A
02079K305
725
624
SH
SOLE
624
0
0
ALTRIA GROUP INC
COM
02209S103
239
6168
SH
SOLE
6168
0
0
AMAZON COM
CALL
023135906
1015
13300
SH
Call
SOLE
13300
0
0
AMAZON COM
PUT
023135956
2111
33000
SH
Put
SOLE
33000
0
0
AMAZON COM INC
COM
023135106
7995
4091
SH
SOLE
4091
0
0
AMGEN INC
COM
031162100
3802
18756
SH
SOLE
18756
0
0
APPLE INC
CALL
037833900
137
10000
SH
Call
SOLE
10000
0
0
APPLE INC
PUT
037833950
1796
103000
SH
Put
SOLE
103000
0
0
APPLE INC
COM
037833100
2955
11622
SH
SOLE
11622
0
0
APPLIED MATLS INC
COM
038222105
496
10481
SH
SOLE
10481
0
0
ARES MANAGEMENT CORPORATION
CL A COM STK
03990B101
367434
12130540
SH
SOLE
12130540
0
0
AT&T INC
COM
00206R102
63
2176
SH
SOLE
2176
0
0
BANK NEW YORK MELLON CORP
COM
064058100
88
2625
SH
SOLE
2625
0
0
BLACKROCK INC
COM
09247X101
2613
5938
SH
SOLE
5938
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
3356
60202
SH
SOLE
60202
0
0
BROADCOM INC
COM
11135F101
611
2578
SH
SOLE
2578
0
0
CAPRI HOLDINGS LIMITED
SHS
G1890L107
6974
619872
SH
SOLE
619872
0
0
CAPRI HOLDINGS LIMITED
CALL
G1890L907
6
60700
SH
Call
SOLE
60700
0
0
CHEVRON CORP NEW
COM
166764100
131
1804
SH
SOLE
1804
0
0
CISCO SYS INC COM
COM
17275R102
3362
85517
SH
SOLE
85517
0
0
CME GROUP INC
COM
12572Q105
84942
471846
SH
SOLE
471846
0
0
COCA COLA CO
COM
191216100
2972
67165
SH
SOLE
67165
0
0
D R HORTON INC
COM
23331A109
2184
64223
SH
SOLE
64223
0
0
DARDEN RESTAURANTS INC
COM
237194105
30
551
SH
SOLE
551
0
0
EXXON MOBIL CORP
COM
30231G102
1801
47442
SH
SOLE
47442
0
0
FACEBOOK INC
CL A
30303M102
113
680
SH
SOLE
680
0
0
FIREEYE INC
COM
31816Q101
597
55001
SH
SOLE
55001
0
0
FIRST TR EXCHANGE TRADED FD
CLOUD COMPUTING
33734X192
1855
34037
SH
SOLE
34037
0
0
GAP INC
COM
364760108
2954
398101
SH
SOLE
398101
0
0
GAP INC
CALL
364760908
54
60000
SH
Call
SOLE
60000
0
0
GENERAL MLS INC
COM
370334104
344
6526
SH
SOLE
6526
0
0
GRAINGER W W INC
COM
384802104
2219
8928
SH
SOLE
8928
0
0
HOME DEPOT INC
COM
437076102
261
1399
SH
SOLE
1399
0
0
ILLINOIS TOOL WKS INC COM
COM
452308109
78
546
SH
SOLE
546
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
1728
15575
SH
SOLE
15575
0
0
INTUITIVE SURGICAL INC
COM NEW
46120E602
165
327
SH
SOLE
327
0
0
INTUITIVE SURGICAL INC
CALL
46120E902
36
800
SH
Call
SOLE
800
0
0
INTUITIVE SURGICAL INC
PUT
46120E952
157
1300
SH
Put
SOLE
1300
0
0
INVESCO EXCHNG TRADED FD TR
TAXABLE MUN BD
46138G805
13129
424875
SH
SOLE
424875
0
0
INVESCO EXCHNG TRADED FD TR
S&P500 LOW VOL
46138E354
687
14646
SH
SOLE
14646
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
244696
1285168
SH
SOLE
1285168
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
418
8470
SH
SOLE
8470
0
0
ISHARES INC
MSCI MLY ETF NEW
46434G814
17
748
SH
SOLE
748
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
25
1052
SH
SOLE
1052
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
37735
1005201
SH
SOLE
1005201
0
0
ISHARES TR
CORE S&P500 ETF
464287200
3564
12000
SH
SOLE
12000
0
0
ISHARES TR
CORE US AGGBD ET
464287226
34454
298641
SH
SOLE
298641
0
0
ISHARES TR
SH TR CRPORT ETF
464288646
49857
952201
SH
SOLE
952201
0
0
ISHARES TR
SELECT DIVID ETF
464287168
630
8568
SH
SOLE
8568
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
2642
77417
SH
SOLE
77417
0
0
ISHARES TR
JPMORGAN USD EMG
464288281
2748
28419
SH
SOLE
28419
0
0
ISHARES TR
CUR HD EURZN ETF
46434V639
27
1130
SH
SOLE
1130
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
16884
219083
SH
SOLE
219083
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
530
4917
SH
SOLE
4917
0
0
ISHARES TR
INTL SEL DIV ETF
464288448
69
3080
SH
SOLE
3080
0
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
22944
188869
SH
SOLE
188869
0
0
ISHARES TR
EXPANDED TECH
464287515
1837
8746
SH
SOLE
8746
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
622
25823
SH
SOLE
25823
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
139
1220
SH
SOLE
1220
0
0
ISHARES TR
U.S. ENERGY ETF
464287796
447
29131
SH
SOLE
29131
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
2100
30190
SH
SOLE
30190
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
39289
318100
SH
SOLE
318100
0
0
ISHARES TR
MBS ETF
464288588
18271
165434
SH
SOLE
165434
0
0
ISHARES TR
PFD AND INCM SEC
464288687
24094
756714
SH
SOLE
756714
0
0
ISHARES TR
MORTGE REL ETF
46435G342
120
6455
SH
SOLE
6455
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
12544
144729
SH
SOLE
144729
0
0
ISHARES TR
TIPS BD ETF
464287176
2079
17633
SH
SOLE
17633
0
0
ISHARES TR
20 YR TR BD ETF
464287432
202
1227
SH
SOLE
1227
0
0
ISHARES TR
MSCI MIN VOL ETF
46429B697
453
8384
SH
SOLE
8384
0
0
JOHNSON & JOHNSON
COM
478160104
1726
13165
SH
SOLE
13165
0
0
JPMORGAN CHASE & CO
COM
46625H100
3548
39411
SH
SOLE
39411
0
0
KIMBERLY CLARK CORP
COM
494368103
2723
21298
SH
SOLE
21298
0
0
LAUDER ESTEE COS INC
CL A
518439104
1081
6782
SH
SOLE
6782
0
0
LOCKHEED MARTIN CORP
COM
539830109
4087
12059
SH
SOLE
12059
0
0
MICRON TECHNOLOGY INC
COM
595112103
1338
30059
SH
SOLE
30059
0
0
MICRON TECHNOLOGY INC
CALL
595112903
573
267644
SH
Call
SOLE
267644
0
0
MICRON TECHNOLOGY INC
PUT
595112953
1957
430800
SH
Put
SOLE
430800
0
0
MICROSOFT CORP
COM
594918104
7385
46718
SH
SOLE
46718
0
0
MICROSOFT CORP
CALL
594918904
79
6000
SH
Call
SOLE
6000
0
0
MONDELEZ INTL INC
CL A
609207105
273
5442
SH
SOLE
5442
0
0
NETFLIX INC
CALL
64110L906
3121
74400
SH
Call
SOLE
74400
0
0
NETFLIX INC
PUT
64110L956
2865
164700
SH
Put
SOLE
164700
0
0
NIKE INC
CL B
654106103
3899
47121
SH
SOLE
47121
0
0
NVIDIA CORP
COM
67066G104
1668
6280
SH
SOLE
6280
0
0
NVIDIA CORP
CALL
67066G904
3183
94911
SH
Call
SOLE
94911
0
0
NVIDIA CORP
PUT
67066G954
1101
76800
SH
Put
SOLE
76800
0
0
OKTA INC
CL A
679295105
1537
12305
SH
SOLE
12305
0
0
OKTA INC
CALL
679295905
1187
183600
SH
Call
SOLE
183600
0
0
OKTA INC
PUT
679295955
3700
335200
SH
Put
SOLE
335200
0
0
OMNICOM GROUP INC
COM
681919106
92
1678
SH
SOLE
1678
0
0
PAYPAL HLDGS INC
COM
70450Y103
1016
10470
SH
SOLE
10470
0
0
PAYPAL HLDGS INC
PUT
70450Y953
291
17000
SH
Put
SOLE
17000
0
0
PEPSICO INC
COM
713448108
170
1414
SH
SOLE
1414
0
0
PHILLIPS 66
COM
718546104
74
1371
SH
SOLE
1371
0
0
PIMCO ETF TR
ACTIVE BD ETF
72201R775
2126
20025
SH
SOLE
20025
0
0
PNC FINL SVCS GROUP INC
COM
693475105
70
731
SH
SOLE
731
0
0
PROCTER & GAMBLE CO
COM
742718109
1396
12691
SH
SOLE
12691
0
0
PROSHARES TR
SHORT S&P 500 NE
74347B425
1018
36789
SH
SOLE
36789
0
0
SALESFORCE COM INC
COM
79466L302
99
662
SH
SOLE
662
0
0
SALESFORCE COM INC
PUT
79466L952
344
10000
SH
Put
SOLE
10000
0
0
SELECT SECTOR SPDR TR
COMMUNICATION
81369Y852
813
18384
SH
SOLE
18384
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
6581
120811
SH
SOLE
120811
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
3803
68632
SH
SOLE
68632
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
107423
490000
SH
SOLE
490000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
14021
94705
SH
SOLE
94705
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
240888
931439
SH
SOLE
931439
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
3616
45285
SH
SOLE
45285
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
164
2112
SH
SOLE
2112
0
0
SPLUNK INC
COM
848637104
1204
9460
SH
SOLE
9460
0
0
SPLUNK INC
CALL
848637904
167
17500
SH
Call
SOLE
17500
0
0
SQUARE INC
CL A
852234103
54496
1042842
SH
SOLE
1042842
0
0
SQUARE INC
CALL
852234903
2288
340000
SH
Call
SOLE
340000
0
0
SQUARE INC
PUT
852234953
3499
995000
SH
Put
SOLE
995000
0
0
SYSCO CORP
COM
871829107
410
8983
SH
SOLE
8983
0
0
TEXAS INSTRS INC
COM
882508104
738
7386
SH
SOLE
7386
0
0
TRAVELERS COMPANIES INC
COM
89417E109
1972
19849
SH
SOLE
19849
0
0
TYSON FOODS INC
CL A
902494103
555
9598
SH
SOLE
9598
0
0
UNITED STATES OIL FUND LP
UNITS
91232N108
249
59052
SH
SOLE
59052
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
4119
16516
SH
SOLE
16516
0
0
VANECK VECTORS ETF TR
JP MORGAN MKTS
92189H300
38
1325
SH
SOLE
1325
0
0
VANECK VECTORS ETF TRUST
JR GOLD MINERS E
92189F791
196
6965
SH
SOLE
6965
0
0
VANECK VECTORS ETF TRUST
GOLD MINERS ETF
92189F106
342
14859
SH
SOLE
14859
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
448764
1895000
SH
SOLE
1895000
0
0
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
82
1176
SH
SOLE
1176
0
0
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
164
2607
SH
SOLE
2607
0
0
VANGUARD WORLD FDS
CONSUM DIS ETF
92204A108
1315
9048
SH
SOLE
9048
0
0
VANGUARD WORLD FDS
INF TECH ETF
92204A702
6364
30033
SH
SOLE
30033
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3137
58390
SH
SOLE
58390
0
0
VISA INC
COM CL A
92826C839
4412
27384
SH
SOLE
27384
0
0
WALMART INC
COM
931142103
1341
11774
SH
SOLE
11774
0
0
WHIRLPOOL CORP
COM
963320106
91
1063
SH
SOLE
1063
0
0
XILINX INC
COM
983919101
2688
33876
SH
SOLE
33876
0
0
XILINX INC
CALL
983919901
99
65300
SH
Call
SOLE
65300
0
0
XILINX INC
PUT
983919951
462
57100
SH
Put
SOLE
57100
0
0
YEXT INC
COM
98585N106
102
10000
SH
SOLE
10000
0
0