General Manager Planning Dept, Global Markets Busines Unit

0000950123-21-001775.txt : 20210212 0000950123-21-001775.hdr.sgml : 20210212 20210212073353 ACCESSION NUMBER: 0000950123-21-001775 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21622760 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 12-31-2020 12-31-2020 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 02-12-2021 2 140 203310 false 1 Sumitomo Mitsui Banking Corporation 2 SMBC Trust Bank Ltd. 3 SMBC Nikko Securities Inc. 4 Sumitomo Mitsui Card Company, Limited INFORMATION TABLE 2 form13fInfoTable.xml INFORMATION TABLE FOR FORM 13F ADVANCED MICRO DEVICES INC COM 007903107 11918 131519 SH SOLE 131519 0 0 UNITED STS OIL FD LP UNITS 91232N207 31426 954882 SH SOLE 954882 0 0 SALESFORCE COM INC COM 79466L302 4679 21032 SH SOLE 21032 0 0 ZSCALER INC COM 98980G102 4575 23127 SH SOLE 23127 0 0 SQUARE INC CL A 852234103 199112 914985 SH SOLE 914985 0 0 DOCUSIGN INC COM 256163106 3469 15206 SH SOLE 15206 0 0 CROWDSTRIKE HLDGS INC CL A 22788C105 3336 16202 SH SOLE 16202 0 0 OKTA INC CL A 679295105 3181 12154 SH SOLE 12154 0 0 GAP INC COM COM 364760108 1789 89073 SH SOLE 89073 0 0 CAPRI HOLDINGS LIMITED SHS G1890L107 1552 36010 SH SOLE 36010 0 0 DISNEY WALT CO COM 254687106 1542 8696 SH SOLE 8696 0 0 FIREEYE INC COM 31816Q101 1299 58134 SH SOLE 58134 0 0 NETFLIX INC COM 64110L106 975 1836 SH SOLE 1836 0 0 MASTERCARD INCORPORATED CL A 57636Q104 940 2712 SH SOLE 2712 0 0 APPLIED MATLS INC COM 038222105 924 10964 SH SOLE 10964 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 514 1023 SH SOLE 1023 0 0 MICRON TECHNOLOGY INC COM 595112103 426 6063 SH SOLE 6063 0 0 PAYPAL HLDGS INC COM 70450Y103 377 1633 SH SOLE 1633 0 0 AUTODESK INC COM 052769106 86 288 SH SOLE 288 0 0 FACEBOOK INC CL A 30303M102 61 219 SH SOLE 219 0 0 ALPHABET INC CAP STK CL A 02079K305 25 14 SH SOLE 14 0 0 SPLUNK INC COM 848637104 20 115 SH SOLE 115 0 0 LAM RESEARCH CORP COM 512807108 19 40 SH SOLE 40 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 12 96 SH SOLE 96 0 0 XILINX INC COM 983919101 5 36 SH SOLE 36 0 0 APPLE INC Call 037833900 1954 132000 SH Call SOLE 132000 0 0 APPLE INC Put 037833950 212 95000 SH Put SOLE 95000 0 0 ADVANCED MICRO DEVICES INC Call 007903907 1885 209500 SH Call SOLE 209500 0 0 AMAZON COM INC Call 023135906 3823 18731 SH Call SOLE 18731 0 0 AMAZON COM INC Put 023135956 276 10800 SH Put SOLE 10800 0 0 SALESFORCE COM INC Put 79466L952 91 20000 SH Put SOLE 20000 0 0 CROWDSTRIKE HLDGS INC Put 22788C955 401 75000 SH Put SOLE 75000 0 0 DOCUSIGN INC Put 256163956 300 27500 SH Put SOLE 27500 0 0 MICRON TECHNOLOGY INC Put 595112953 1 80000 SH Put SOLE 80000 0 0 NETFLIX INC Call 64110L906 1226 25000 SH Call SOLE 25000 0 0 NETFLIX INC Put 64110L956 55 10000 SH Put SOLE 10000 0 0 NVIDIA CORPORATION Call 67066G904 3812 90380 SH Call SOLE 90380 0 0 OKTA INC Call 679295905 646 18000 SH Call SOLE 18000 0 0 SPLUNK INC Put 848637954 229 27000 SH Put SOLE 27000 0 0 SQUARE INC Call 852234903 4195 135000 SH Call SOLE 135000 0 0 SQUARE INC Put 852234953 1287 145000 SH Put SOLE 145000 0 0 TELADOC HEALTH INC Put 87918A955 27 5000 SH Put SOLE 5000 0 0 CAPRI HOLDINGS LIMITED Call G1890L907 56 11528 SH Call SOLE 11528 0 0 FORD MTR CO DEL Call 345370900 375 498166 SH Call SOLE 498166 0 0 GAP INC Call 364760908 125 98577 SH Call SOLE 98577 0 0 JOHNSON & JOHNSON Call 478160904 16 3000 SH Call SOLE 3000 0 0 MICRON TECHNOLOGY INC Call 595112903 411 23560 SH Call SOLE 23560 0 0 UNDER ARMOUR INC Call 904311907 21 22877 SH Call SOLE 22877 0 0 AIR PRODS & CHEMS INC COM 009158106 3836 14039 SH SOLE 14039 0 0 ALPHABET INC CAP STK CL C 02079K107 7952 4539 SH SOLE 4539 0 0 ALTRIA GROUP INC COM 02209S103 7 170 SH SOLE 170 0 0 SPDR GOLD TR GOLD SHS 78463V107 162448 913376 SH SOLE 913376 0 0 AMGEN INC COM 031162100 4154 18065 SH SOLE 18065 0 0 AT&T INC COM 00206R102 1556 54098 SH SOLE 54098 0 0 BANK NEW YORK MELLON CORP COM 064058100 40 936 SH SOLE 936 0 0 BLACKROCK INC COM 09247X101 5446 7548 SH SOLE 7548 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 4139 66728 SH SOLE 66728 0 0 BROADCOM INC COM 11135F101 7964 18190 SH SOLE 18190 0 0 CISCO SYS INC COM 17275R102 1576 35209 SH SOLE 35209 0 0 COCA COLA CO COM 191216100 4007 73063 SH SOLE 73063 0 0 COSTCO WHSL CORP NEW COM 22160K105 1795 4765 SH SOLE 4765 0 0 D R HORTON INC COM 23331A109 4813 69834 SH SOLE 69834 0 0 EXXON MOBIL CORP COM 30231G102 4 87 SH SOLE 87 0 0 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 5760 60613 SH SOLE 60613 0 0 FIRST TR EXCHANGE-TRADED FD NAS CLNEDG GREEN 33733E500 1953 27806 SH SOLE 27806 0 0 GENERAL MLS INC COM 370334104 612 10414 SH SOLE 10414 0 0 GLOBAL X FDS US INFR DEV ETF 37954Y673 309 14533 SH SOLE 14533 0 0 GRAINGER W W INC COM 384802104 3606 8832 SH SOLE 8832 0 0 HOME DEPOT INC COM 437076102 1358 5114 SH SOLE 5114 0 0 ILLINOIS TOOL WKS INC COM COM 452308109 423 2074 SH SOLE 2074 0 0 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 267 4752 SH SOLE 4752 0 0 INVESCO EXCHANGE-TRADED FD T TAXABLE MUN BD 46138G805 19799 591021 SH SOLE 591021 0 0 SPDR S&P500 ETF TR TR UNIT 78462F103 321831 864881 SH SOLE 864881 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 215 3179 SH SOLE 3179 0 0 ISHARES INC MSCI MLY ETF NEW 46434G814 12 411 SH SOLE 411 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 36 983 SH SOLE 983 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 67937 1231414 SH SOLE 1231414 0 0 ISHARES TR SELECT DIVID ETF 464287168 470 4888 SH SOLE 4888 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3871 74925 SH SOLE 74925 0 0 NVIDIA CORPORATION COM 67066G104 14170 27222 SH SOLE 27222 0 0 ISHARES TR CUR HD EURZN ETF 46434V639 35 1130 SH SOLE 1130 0 0 ISHARES TR IBOXX HI YD ETF 464288513 28189 322894 SH SOLE 322894 0 0 ISHARES TR NASDAQ BIOTECH 464287556 2275 15015 SH SOLE 15015 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 31871 265702 SH SOLE 265702 0 0 ISHARES TR EXPANDED TECH 464287515 5225 14761 SH SOLE 14761 0 0 ISHARES TR MSCI INDIA ETF 46429B598 1070 26598 SH SOLE 26598 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 15 76 SH SOLE 76 0 0 ISHARES TR U.S. ENERGY ETF 464287796 1791 88499 SH SOLE 88499 0 0 ISHARES TR U.S. REAL ES ETF 464287739 3143 36696 SH SOLE 36696 0 0 MICROSOFT CORP COM 594918104 13973 62675 SH SOLE 62675 0 0 ISHARES TR MBS ETF 464288588 33737 306339 SH SOLE 306339 0 0 ISHARES TR PFD AND INCM SEC 464288687 32162 835171 SH SOLE 835171 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 199 1711 SH SOLE 1711 0 0 ISHARES TR MORTGE REL ETF 46435G342 31 981 SH SOLE 981 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 6339 73382 SH SOLE 73382 0 0 ISHARES TR PHLX SEMICND ETF 464287523 2023 5335 SH SOLE 5335 0 0 ISHARES TR TIPS BD ETF 464287176 7458 58428 SH SOLE 58428 0 0 ISHARES TR 20 YR TR BD ETF 464287432 3077 19508 SH SOLE 19508 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 134 1970 SH SOLE 1970 0 0 JOHNSON & JOHNSON COM 478160104 1752 11131 SH SOLE 11131 0 0 JPMORGAN CHASE & CO COM 46625H100 5217 41057 SH SOLE 41057 0 0 KIMBERLY CLARK CORP COM 494368103 3362 24932 SH SOLE 24932 0 0 LAUDER ESTEE COS INC CL A 518439104 1312 4929 SH SOLE 4929 0 0 LOCKHEED MARTIN CORP COM 539830109 4723 13305 SH SOLE 13305 0 0 MONDELEZ INTL INC CL A 609207105 668 11420 SH SOLE 11420 0 0 NIKE INC CL B 654106103 18 129 SH SOLE 129 0 0 ISHARES TR JPMORGAN USD EMG 464288281 100571 868176 SH SOLE 868176 0 0 OMNICOM GROUP INC COM 681919106 144 2305 SH SOLE 2305 0 0 PEPSICO INC COM 713448108 659 4446 SH SOLE 4446 0 0 PFIZER INC COM 717081103 3405 92501 SH SOLE 92501 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 2265 20025 SH SOLE 20025 0 0 PROCTER & GAMBLE CO COM 742718109 2172 15610 SH SOLE 15610 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 863 48000 SH SOLE 48000 0 0 QUALCOMM INC COM 747525103 7727 50720 SH SOLE 50720 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 2102 31149 SH SOLE 31149 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 5733 84997 SH SOLE 84997 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3525 56216 SH SOLE 56216 0 0 ISHARES TR IBOXX INV CP ETF 464287242 484761 3510113 SH SOLE 3510113 0 0 SPDR SER TR S&P DIVID ETF 78464A763 2561 24195 SH SOLE 24195 0 0 SPDR SER TR S&P BIOTECH 78464A870 1046 7430 SH SOLE 7430 0 0 TEXAS INSTRS INC COM 882508104 2703 16469 SH SOLE 16469 0 0 TYSON FOODS INC CL A 902494103 667 10349 SH SOLE 10349 0 0 ISHARES TR CORE US AGGBD ET 464287226 345676 2926674 SH SOLE 2926674 0 0 UNITEDHEALTH GROUP INC COM 91324P102 5842 16660 SH SOLE 16660 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 290 5348 SH SOLE 5348 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 512 14211 SH SOLE 14211 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 44 1325 SH SOLE 1325 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 539 6342 SH SOLE 6342 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 241 2607 SH SOLE 2607 0 0 VANGUARD STOTTSDALE FDS INT-TERM CORP 92206C870 15080 155239 SH SOLE 155239 0 0 VANGUARD STOTTSDALE FDS LG-TERM COR BD 92206C813 5508 49594 SH SOLE 49594 0 0 VANGUARD STOTTSDALE FDS SHRT TRM CORP BD 92206C409 8538 102564 SH SOLE 102564 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1670 6068 SH SOLE 6068 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 12441 35166 SH SOLE 35166 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4536 77211 SH SOLE 77211 0 0 VISA INC COM CL A 92826C839 6776 30981 SH SOLE 30981 0 0 WHIRLPOOL CORP COM 963320106 625 3463 SH SOLE 3463 0 0 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 4603 85917 SH SOLE 85917 0 0 CME GROUP INC COM 12572Q105 85900 471846 SH SOLE 471846 0 0 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 570742 12130540 SH SOLE 12130540 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 74424 1609127 SH SOLE 1609127 0 0 ISHARES TR CORE S&P500 ETF 464287200 388232 1040000 SH SOLE 1040000 0 0 ISHARES INC MSCI STH KOR ETF 464286772 30583 355000 SH SOLE 355000 0 0 ISHARES INC MSCI TAIWAN ETF 46434G772 19728 370000 SH SOLE 370000 0 0 ISHARES TR MSCI CHINA ETF 46429B671 117334 1450000 SH SOLE 1450000 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 196164 645000 SH SOLE 645000 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 50240 1000000 SH SOLE 1000000 0 0 DBX ETF TR XTRACK HRVST CSI 233051879 98725 2500000 SH SOLE 2500000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 15160 172000 SH SOLE 172000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 15060 116000 SH SOLE 116000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 208347 665623 SH SOLE 665623 0 0 APPLE INC COM 037833100 11471 85704 SH SOLE 85704 0 0 AMAZON COM 023135106 11191 3413 SH SOLE 3413 0 0