General Manager Planning Dept, Global Markets Busines Unit

0000950123-20-011304.txt : 20201112 0000950123-20-011304.hdr.sgml : 20201112 20201112070628 ACCESSION NUMBER: 0000950123-20-011304 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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: 201303302 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 09-30-2020 09-30-2020 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 11-12-2020 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 CAPRI HOLDINGS LIMITED SHS G1890L107 14240 804968 SH SOLE 804968 0 0 ALPHABET INC CAP STK CL C 02079K107 6650 4525 SH SOLE 4525 0 0 ADVANCED MICRO DEVICES INC COM 007903107 6427 78597 SH SOLE 78597 0 0 OKTA INC CL A 679295105 5644 26426 SH SOLE 26426 0 0 NETFLIX INC COM 64110L106 3940 7984 SH SOLE 7984 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 3814 7795 SH SOLE 7795 0 0 APPLIED MATLS INC COM 038222105 3710 62201 SH SOLE 62201 0 0 ZSCALER INC COM 98980G102 2971 21150 SH SOLE 21150 0 0 MASTERCARD INCORPORATED CL A 57636Q104 2857 8497 SH SOLE 8497 0 0 AMAZON COM 023135106 7495 2381 SH SOLE 2381 0 0 SERVICENOW INC COM 81762P102 1834 3759 SH SOLE 3759 0 0 FIREEYE INC COM 31816Q101 1626 128883 SH SOLE 128883 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 1176 11807 SH SOLE 11807 0 0 ALPHA PRO TECH LTD COM 020772109 776 529 SH SOLE 529 0 0 BROADCOM INC COM 11135F101 6234 17113 SH SOLE 17113 0 0 ANALOG DEVICES INC COM 032654105 554 4750 SH SOLE 4750 0 0 XILINX INC COM 983919101 442 4267 SH SOLE 4267 0 0 PALO ALTO NETWORKS INC COM 697435105 407 1650 SH SOLE 1650 0 0 DISNEY WALT CO COM DISNEY COM 254687106 360 2872 SH SOLE 2872 0 0 MICRON TECHNOLOGY INC COM 595112103 348 6860 SH SOLE 6860 0 0 GAP INC COM 364760108 344 20604 SH SOLE 20604 0 0 COSTCO WHSL CORP NEW COM 22160K105 1770 5004 SH SOLE 5004 0 0 BIOGEN INC COM 09062X103 178 632 SH SOLE 632 0 0 GENERAL ELECTRIC CO COM 369604103 175 28516 SH SOLE 28516 0 0 MERCK & CO. INC COM 58933Y105 106 1296 SH SOLE 1296 0 0 COCA COLA EUROPEAN PARTNERS SHS G25839104 102 2082 SH SOLE 2082 0 0 HOME DEPOT INC COM 437076102 1118 4031 SH SOLE 4031 0 0 WELLS FARGO CO NEW COM 949746101 78 3350 SH SOLE 3350 0 0 ALBEMARLE CORP COM 012653101 66 760 SH SOLE 760 0 0 PFIZER INC COM 717081103 59 1640 SH SOLE 1640 0 0 STARBUCKS CORP COM 855244109 48 563 SH SOLE 563 0 0 US BANCORP DEL COM NEW 902973304 28 800 SH SOLE 800 0 0 VULCAN MATLS CO COM 929160109 27 200 SH SOLE 200 0 0 AUTODESK INC COM 052769106 21 90 SH SOLE 90 0 0 GILEAD SCIENCES INC COM 375558103 15 234 SH SOLE 234 0 0 APPLE INC Call 037833900 1539 170000 SH Call SOLE 170000 0 0 APPLE INC Put 037833950 776 135000 SH Put SOLE 135000 0 0 ADVANCED MICRO DEVICES INC Call 007903907 5993 443943 SH Call SOLE 443943 0 0 ADVANCED MICRO DEVICES INC Put 007903957 1451 550000 SH Put SOLE 550000 0 0 AMAZON COM INC Call 023135906 2510 11431 SH Call SOLE 11431 0 0 AMAZON COM INC Put 023135956 266 5200 SH Put SOLE 5200 0 0 MICRON TECHNOLOGY INC Call 595112903 1941 366000 SH Call SOLE 366000 0 0 MICRON TECHNOLOGY INC Put 595112953 66 190000 SH Put SOLE 190000 0 0 NETFLIX INC Call 64110L906 1099 34000 SH Call SOLE 34000 0 0 NVIDIA CORPORATION Call 67066G904 9602 92362 SH Call SOLE 92362 0 0 NVIDIA CORPORATION Put 67066G954 389 19000 SH Put SOLE 19000 0 0 OKTA INC Call 679295905 2816 105500 SH Call SOLE 105500 0 0 OKTA INC Put 679295955 141 40200 SH Put SOLE 40200 0 0 SQUARE INC Call 852234903 12009 404000 SH Call SOLE 404000 0 0 SQUARE INC Put 852234953 1622 290000 SH Put SOLE 290000 0 0 ZSCALER INC Call 98980G902 2276 135000 SH Call SOLE 135000 0 0 ZSCALER INC Put 98980G952 1087 185000 SH Put SOLE 185000 0 0 GAP INC Call 364760908 187 153221 SH Call SOLE 153221 0 0 FORD MTR CO DEL Call 345370900 92 314002 SH Call SOLE 314002 0 0 AIR PRODS & CHEMS INC COM 009158106 3979 13358 SH SOLE 13358 0 0 ISHARES TR CORE S&P500 ETF 464287200 461579 1374000 SH SOLE 1374000 0 0 ALTRIA GROUP INC COM 02209S103 7 170 SH SOLE 170 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 66787 1514779 SH SOLE 1514779 0 0 AMGEN INC COM 031162100 5115 20127 SH SOLE 20127 0 0 APPLE INC COM 037833100 28 244 SH SOLE 244 0 0 AT&T INC COM 00206R102 425 14904 SH SOLE 14904 0 0 BANK NEW YORK MELLON CORP COM 064058100 66 1916 SH SOLE 1916 0 0 BLACKROCK INC COM 09247X101 3644 6467 SH SOLE 6467 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 3973 65899 SH SOLE 65899 0 0 ISHARES TR IBOXX INV CP ETF 464287242 557549 4138883 SH SOLE 4138883 0 0 CISCO SYS INC COM 17275R102 1611 40900 SH SOLE 40900 0 0 COCA COLA CO COM 191216100 3444 69751 SH SOLE 69751 0 0 D R HORTON INC COM 23331A109 4481 59243 SH SOLE 59243 0 0 EXXON MOBIL CORP COM 30231G102 3 87 SH SOLE 87 0 0 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 6465 82362 SH SOLE 82362 0 0 GENERAL MLS INC COM 370334104 436 7069 SH SOLE 7069 0 0 GRAINGER W W INC COM 384802104 2905 8142 SH SOLE 8142 0 0 ILLINOIS TOOL WKS INC COM COM 452308109 218 1127 SH SOLE 1127 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1988 16337 SH SOLE 16337 0 0 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 279 5198 SH SOLE 5198 0 0 INVESCO EXCHANGE-TRADED FD T TAXABLE MUN BD 46138G805 18117 543250 SH SOLE 543250 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 9080 32679 SH SOLE 32679 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 188 3179 SH SOLE 3179 0 0 ISHARES INC MSCI MLY ETF NEW 46434G814 20 748 SH SOLE 748 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 27 977 SH SOLE 977 0 0 ISHARES TR CORE US AGGBD ET 464287226 43285 366635 SH SOLE 366635 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 72710 1324161 SH SOLE 1324161 0 0 ISHARES TR SELECT DIVID ETF 464287168 442 5422 SH SOLE 5422 0 0 JOHNSON & JOHNSON COM 478160104 1723 11578 SH SOLE 11578 0 0 ISHARES TR JPMORGAN USD EMG 464288281 1799 16223 SH SOLE 16223 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 332 7915 SH SOLE 7915 0 0 ISHARES TR CUR HD EURZN ETF 46434V639 31 1130 SH SOLE 1130 0 0 ISHARES TR IBOXX HI YD ETF 464288513 23449 279483 SH SOLE 279483 0 0 ISHARES TR NASDAQ BIOTECH 464287556 2076 15331 SH SOLE 15331 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 30618 251338 SH SOLE 251338 0 0 ISHARES TR EXPANDED TECH 464287515 4936 15799 SH SOLE 15799 0 0 ISHARES TR MSCI INDIA ETF 46429B598 809 23909 SH SOLE 23909 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 11 76 SH SOLE 76 0 0 ISHARES TR U.S. ENERGY ETF 464287796 1328 83223 SH SOLE 83223 0 0 ISHARES TR U.S. REAL ES ETF 464287739 2552 31973 SH SOLE 31973 0 0 ISHARES TR MBS ETF 464288588 32391 293400 SH SOLE 293400 0 0 ISHARES TR PFD AND INCM SEC 464288687 25370 696023 SH SOLE 696023 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 157 1513 SH SOLE 1513 0 0 ISHARES TR MORTGE REL ETF 46435G342 29 1125 SH SOLE 1125 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 6292 72727 SH SOLE 72727 0 0 ISHARES TR PHLX SEMICND ETF 464287523 458 1502 SH SOLE 1502 0 0 ISHARES TR TIPS BD ETF 464287176 7105 56165 SH SOLE 56165 0 0 ISHARES TR 20 YR TR BD ETF 464287432 2284 13991 SH SOLE 13991 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 163 2560 SH SOLE 2560 0 0 LOCKHEED MARTIN CORP COM 539830109 5030 13121 SH SOLE 13121 0 0 JPMORGAN CHASE & CO COM 46625H100 3530 36672 SH SOLE 36672 0 0 KIMBERLY CLARK CORP COM 494368103 3164 21427 SH SOLE 21427 0 0 LAUDER ESTEE COS INC CL A 518439104 958 4388 SH SOLE 4388 0 0 MICROSOFT CORP COM 594918104 12113 57820 SH SOLE 57820 0 0 MONDELEZ INTL INC CL A 609207105 616 10725 SH SOLE 10725 0 0 NIKE INC CL B 654106103 16 129 SH SOLE 129 0 0 OMNICOM GROUP INC COM 681919106 49 992 SH SOLE 992 0 0 PEPSICO INC COM 713448108 543 3917 SH SOLE 3917 0 0 PHILLIPS 66 COM 718546104 53 1024 SH SOLE 1024 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 2251 20025 SH SOLE 20025 0 0 PNC FINL SVCS GROUP INC COM 693475105 18 165 SH SOLE 165 0 0 NVIDIA CORPORATION COM 67066G104 10604 19702 SH SOLE 19702 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 975 48000 SH SOLE 48000 0 0 QUALCOMM INC COM 747525103 5825 49497 SH SOLE 49497 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1754 29529 SH SOLE 29529 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 6134 95688 SH SOLE 95688 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3219 54202 SH SOLE 54202 0 0 PROCTER & GAMBLE CO COM 742718109 2070 14915 SH SOLE 14915 0 0 SPDR SER TR S&P DIVID ETF 78464A763 1671 18089 SH SOLE 18089 0 0 SPDR SER TR S&P BIOTECH 78464A870 701 6288 SH SOLE 6288 0 0 TEXAS INSTRS INC COM 882508104 1796 12579 SH SOLE 12579 0 0 TYSON FOODS INC CL A 902494103 513 8627 SH SOLE 8627 0 0 UNITEDHEALTH GROUP INC COM 91324P102 5111 16394 SH SOLE 16394 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 289 5212 SH SOLE 5212 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 544 13884 SH SOLE 13884 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 41 1325 SH SOLE 1325 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 521 6602 SH SOLE 6602 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 210 2607 SH SOLE 2607 0 0 VANGUARD STOTTSDALE FDS INT-TERM CORP 92206C870 2053 21425 SH SOLE 21425 0 0 VANGUARD STOTTSDALE FDS LG-TERM COR BD 92206C813 3710 34710 SH SOLE 34710 0 0 VANGUARD STOTTSDALE FDS SHRT TRM CORP BD 92206C409 2219 26786 SH SOLE 26786 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1950 8312 SH SOLE 8312 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 10113 32470 SH SOLE 32470 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4162 69963 SH SOLE 69963 0 0 VISA INC COM CL A 92826C839 5895 29479 SH SOLE 29479 0 0 WHIRLPOOL CORP COM 963320106 353 1922 SH SOLE 1922 0 0 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 1867 43689 SH SOLE 43689 0 0 SPDR GOLD TR GOLD SHS 78463V107 60613 342210 SH SOLE 342210 0 0 CME GROUP INC COM 12572Q105 78945 471846 SH SOLE 471846 0 0 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 490316 12130540 SH SOLE 12130540 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 21543 64276 SH SOLE 64276 0 0 SQUARE INC CL A 852234103 156368 961226 SH SOLE 961226 0 0 ISHARES TR MSCI CHINA ETF 46429B671 123196 1661000 SH SOLE 1661000 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 33127 333500 SH SOLE 333500 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 267656 870000 SH SOLE 870000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 14626 190000 SH SOLE 190000 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 14001 220000 SH SOLE 220000 0 0 UNITED STS OIL FD LP UNITS 91232N207 29985 1059882 SH SOLE 1059882 0 0