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