0000950123-21-014448.txt : 20211110
0000950123-21-014448.hdr.sgml : 20211110
20211110061757
ACCESSION NUMBER: 0000950123-21-014448
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211110
DATE AS OF CHANGE: 20211110
EFFECTIVENESS DATE: 20211110
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: 211394286
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
09-30-2021
09-30-2021
SUMITOMO MITSUI FINANCIAL GROUP, INC.
1-2, MARUNOUCHI 1-CHOME
CHIYODA-KU
TOKYO
M0
100-0005
13F HOLDINGS REPORT
028-17794
N
Katsuya Fujita
General Manager Planning Dept, Global Markets Busines Unit
81-3-6706-3820
/s/ Katsuya Fujita
Tokyo
M0
11-10-2021
4
188
4380286
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
ISHARES TR
GL CLEAN ENE ETF
464288224
4330
200000
SH
SOLE
200000
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
25505
510000
SH
SOLE
510000
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
269375
683000
SH
SOLE
683000
0
0
AT&T INC
COM
00206R102
4524
167498
SH
SOLE
167498
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
1944
19377
SH
SOLE
19377
0
0
ADVANCED MICRO DEVICES INC
Call
007903907
1435
190000
SH
Call
SOLE
190000
0
0
ADVANCED MICRO DEVICES INC
Put
007903957
775
425000
SH
Put
SOLE
425000
0
0
AIR PRODS & CHEMS INC
COM
009158106
6614
25824
SH
SOLE
25824
0
0
ALPHABET INC
CAP STK CL C
02079K107
17087
6411
SH
SOLE
6411
0
0
ALPHABET INC
CAP STK CL A
02079K305
782
291
SH
SOLE
291
0
0
AMAZON COM INC
COM
023135106
19103
5809
SH
SOLE
5809
0
0
AMAZON COM INC
Call
023135906
863
9000
SH
Call
SOLE
9000
0
0
AMAZON COM INC
Put
023135956
431
9500
SH
Put
SOLE
9500
0
0
AMGEN INC
COM
031162100
5917
27823
SH
SOLE
27823
0
0
APPLE INC
COM
037833100
16463
116185
SH
SOLE
116185
0
0
APPLE INC
Call
037833900
564
167000
SH
Call
SOLE
167000
0
0
APPLE INC
Put
037833950
446
250000
SH
Put
SOLE
250000
0
0
APPLIED MATLS INC
COM
038222105
1345
10488
SH
SOLE
10488
0
0
ARES MANAGEMENT CORPORATION
CL A COM STK
03990B101
986719
13364740
SH
SOLE
13364740
0
0
BANK NEW YORK MELLON CORP
COM
064058100
2410
46489
SH
SOLE
46489
0
0
BARRICK GOLD CORP
COM
067901108
41
2328
SH
SOLE
2328
0
0
BLACKROCK INC
COM
09247X101
9206
10977
SH
SOLE
10977
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
6427
108621
SH
SOLE
108621
0
0
BROADCOM INC
COM
11135F101
14595
30083
SH
SOLE
30083
0
0
CME GROUP INC
COM
12572Q105
91246
471846
SH
SOLE
471846
0
0
CISCO SYS INC
COM
17275R102
3784
69126
SH
SOLE
69126
0
0
COCA COLA CO
COM
191216100
6755
128696
SH
SOLE
128696
0
0
COSTCO WHSL CORP NEW
COM
22160K105
2698
6005
SH
SOLE
6005
0
0
CROWDSTRIKE HLDGS INC
Put
22788C955
370
64400
SH
Put
SOLE
64400
0
0
DBX ETF TR
XTRACK HRVST CSI
233051879
158236
4152089
SH
SOLE
4152089
0
0
D R HORTON INC
COM
23331A109
8926
106299
SH
SOLE
106299
0
0
DISNEY WALT CO
COM
254687106
1983
11486
SH
SOLE
11486
0
0
DOCUSIGN INC
COM
256163106
5262
20482
SH
SOLE
20482
0
0
DOCUSIGN INC
Call
256163906
188
19700
SH
Call
SOLE
19700
0
0
EXCHANGE TRADED CONCEPTS TR
EMQQ EM INTERN
301505889
1481
29862
SH
SOLE
29862
0
0
FACEBOOK INC
CL A
30303M102
13059
38473
SH
SOLE
38473
0
0
FIREEYE INC
COM
31816Q101
300
17102
SH
SOLE
17102
0
0
FIRST TR EXCHANGE-TRADED FD
NAS CLNEDG GREEN
33733E500
8528
136226
SH
SOLE
136226
0
0
FIRST TR EXCHANGE TRADED FD
CLOUD COMPUTING
33734X192
6445
61174
SH
SOLE
61174
0
0
FIRST TR EXCHANGE TRADED FD
NASDAQ CYB ETF
33734X846
3060
62800
SH
SOLE
62800
0
0
FORD MTR CO DEL
COM
345370860
68
4783
SH
SOLE
4783
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
1770
53467
SH
SOLE
53467
0
0
GENERAL MLS INC
COM
370334104
696
11629
SH
SOLE
11629
0
0
GILEAD SCIENCES INC
COM
375558103
37
520
SH
SOLE
520
0
0
GILEAD SCIENCES INC
Call
375558903
13
5000
SH
Call
SOLE
5000
0
0
GLOBAL X FDS
MSCI CHINA CNSMR
37950E408
467
16639
SH
SOLE
16639
0
0
GLOBAL X FDS
US INFR DEV ETF
37954Y673
5095
200349
SH
SOLE
200349
0
0
GLOBAL X FDS
LITHIUM BTRY ETF
37954Y855
8852
108000
SH
SOLE
108000
0
0
GRAINGER W W INC
COM
384802104
6572
16719
SH
SOLE
16719
0
0
HALLIBURTON CO
COM
406216101
26
1151
SH
SOLE
1151
0
0
HOME DEPOT INC
COM
437076102
3563
10794
SH
SOLE
10794
0
0
HUNT J B TRANS SVCS INC
COM
445658107
8336
49853
SH
SOLE
49853
0
0
ILLINOIS TOOK WKS INC
COM
452308109
1277
6179
SH
SOLE
6179
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
18036
50385
SH
SOLE
50385
0
0
INTUIT
COM
461202103
11875
22011
SH
SOLE
22011
0
0
INVESCO EXCH TRADED FD TR II
S&P500 LOW VOL
46138E354
172
2835
SH
SOLE
2835
0
0
INVESCO EXCH TRADED FD TR II
TAXABLE MUN BD
46138G805
25893
786784
SH
SOLE
786784
0
0
INVESCO DB MULTI-SECTOR COMM
AGRICULTURE FD
46140H106
9178
480000
SH
SOLE
480000
0
0
ISHARES INC
MSCI BRAZIL ETF
464286400
37
1156
SH
SOLE
1156
0
0
ISHARES INC
MSCI STH KOR ETF
464286772
23391
290000
SH
SOLE
290000
0
0
ISHARES TR
SELECT DIVID ETF
464287168
697
6073
SH
SOLE
6073
0
0
ISHARES TR
TIPS BD ETF
464287176
11609
90918
SH
SOLE
90918
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
25494
654847
SH
SOLE
654847
0
0
ISHARES TR
CORE S&P500 ETF
464287200
274605
637400
SH
SOLE
637400
0
0
ISHARES TR
CORE US AGGBD ET
464287226
53394
464987
SH
SOLE
464987
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
100961
2003980
SH
SOLE
2003980
0
0
ISHARES TR
IBOXX INV CP ETF
464287242
78604
590872
SH
SOLE
590872
0
0
ISHARES TR
20 YR TR BD ETF
464287432
2718
18832
SH
SOLE
18832
0
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
27306
236992
SH
SOLE
236992
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
4478
51978
SH
SOLE
51978
0
0
ISHARES TR
EXPANDED TECH
464287515
6706
16785
SH
SOLE
16785
0
0
ISHARES TR
ISHARES SEMICDTR
464287523
18529
41558
SH
SOLE
41558
0
0
ISHARES TR
ISHARES BIOTECH
464287556
3875
23967
SH
SOLE
23967
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
168
769
SH
SOLE
769
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
5105
49861
SH
SOLE
49861
0
0
ISHARES TR
U.S. ENERGY ETF
464287796
3925
138905
SH
SOLE
138905
0
0
ISHARES TR
JPMORGAN USD EMG
464288281
134548
1222503
SH
SOLE
1222503
0
0
ISHARES TR
IBOXX HI YD ETF
464288513
54280
620412
SH
SOLE
620412
0
0
ISHARES TR
MBS ETF
464288588
35413
327471
SH
SOLE
327471
0
0
ISHARES TR
ISHS 1-5YR INVS
464288646
97293
1780610
SH
SOLE
1780610
0
0
ISHARES TR
3 7 YR TREAS BD
464288661
312
2398
SH
SOLE
2398
0
0
ISHARES TR
PFD AND INCM SEC
464288687
52665
1356998
SH
SOLE
1356998
0
0
ISHARES TR
US OIL GS EX ETF
464288851
72
1242
SH
SOLE
1242
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
1362
27970
SH
SOLE
27970
0
0
ISHARES TR
MSCI CHINA ETF
46429B671
41734
618000
SH
SOLE
618000
0
0
ISHARES TR
MSCI USA MIN VOL
46429B697
77
1049
SH
SOLE
1049
0
0
ISHARES TR
MSCI USA QLT FCT
46432F339
68
518
SH
SOLE
518
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
223
3179
SH
SOLE
3179
0
0
ISHARES TR
CUR HD EURZN ETF
46434V639
41
1130
SH
SOLE
1130
0
0
ISHARES TR
MORTGE REL ETF
46435G342
32
893
SH
SOLE
893
0
0
ISHARES TR
ESG AWR US AGRST
46435U549
436
7916
SH
SOLE
7916
0
0
JPMORGAN CHASE & CO
COM
46625H100
9895
60450
SH
SOLE
60450
0
0
JEFFERIES FINL GROUP INC
COM
47233W109
389865
10500000
SH
SOLE
10500000
0
0
JOHNSON & JOHNSON
COM
478160104
3821
23651
SH
SOLE
23651
0
0
KIMBERLY-CLARK CORP
COM
494368103
4679
35328
SH
SOLE
35328
0
0
LAUDER ESTEE COS INC
CL A
518439104
2318
7684
SH
SOLE
7684
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
279
790
SH
SOLE
790
0
0
MICROSOFT CORP
COM
594918104
18302
64903
SH
SOLE
64903
0
0
MICRON TECHNOLOGY INC
COM
595112103
1157
16154
SH
SOLE
16154
0
0
MICRON TECHNOLOGY INC
Call
595112903
69
7560
SH
Call
SOLE
7560
0
0
MONDELEZ INTL INC
CL A
609207105
804
13814
SH
SOLE
13814
0
0
MORGAN STANLEY
COM NEW
617446448
879
8825
SH
SOLE
8825
0
0
NETFLIX INC COM
COM
64110L106
947
1581
SH
SOLE
1581
0
0
NVIDIA CORPORATION
COM
67066G104
20442
98724
SH
SOLE
98724
0
0
NVIDIA CORPORATION
Call
67066G904
527
26496
SH
Call
SOLE
26496
0
0
NVIDIA CORPORATION
Put
67066G954
813
135000
SH
Put
SOLE
135000
0
0
OKTA INC
CL A
679295105
955
4093
SH
SOLE
4093
0
0
OKTA INC
Call
679295905
970
84000
SH
Call
SOLE
84000
0
0
OKTA INC
Put
679295955
727
185000
SH
Put
SOLE
185000
0
0
OMNICOM GROUP INC
COM
681919106
449
6200
SH
SOLE
6200
0
0
PALO ALTO NETWORKS INC
COM
697435105
9
20
SH
SOLE
20
0
0
PAYPAL HLDGS INC
COM
70450Y103
3486
13459
SH
SOLE
13459
0
0
PAYPAL HLDGS INC
Call
70450Y903
101
15000
SH
Call
SOLE
15000
0
0
PEPSICO INC
COM
713448108
2129
14153
SH
SOLE
14153
0
0
PFIZER INC
COM
717081103
8460
196684
SH
SOLE
196684
0
0
PIMCO ETF TR
ACTIVE BD ETF
72201R775
2189
19800
SH
SOLE
19800
0
0
PROCTER AND GAMBLE CO
COM
742718109
3511
25107
SH
SOLE
25107
0
0
PROSHARES TR
SHORT S&P 500 NE
74347B425
731
48000
SH
SOLE
48000
0
0
QUALCOMM INC
COM
747525103
11555
89589
SH
SOLE
89589
0
0
RH
COM
74967X103
544
783
SH
SOLE
783
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
36
60
SH
SOLE
60
0
0
REGENERON PHARMACEUTICALS
Call
75886F907
1
745
SH
Call
SOLE
745
0
0
SPDR S&P500 ETF TR
TR UNIT
78462F103
236942
552132
SH
SOLE
552132
0
0
SPDR GOLD TR
GOLD SHS
78463V107
40341
245654
SH
SOLE
245654
0
0
SPDR SER TR
S&P DIVID ETF
78464A763
5124
43599
SH
SOLE
43599
0
0
SPDR SER TR
S&P BIOTECH
78464A870
3413
27160
SH
SOLE
27160
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
87955
260000
SH
SOLE
260000
0
0
SPDR SER TR
S&P OILGAS EXP
78468R556
8947
92500
SH
SOLE
92500
0
0
SVB FINANCIAL GROUP
COM
78486Q101
371
566
SH
SOLE
566
0
0
SALESFORCE COM INC
COM
79466L302
1638
6054
SH
SOLE
6054
0
0
SELECT SECTOR SPDR TR
SBI MATERIALS
81369Y100
64158
811000
SH
SOLE
811000
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
7329
106459
SH
SOLE
106459
0
0
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
48810
272000
SH
SOLE
272000
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
35421
680000
SH
SOLE
680000
0
0
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
66336
678000
SH
SOLE
678000
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
29416
197000
SH
SOLE
197000
0
0
SELECT SECTOR SPDR TR
COMMUNICATION
81369Y852
23408
292200
SH
SOLE
292200
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
3639
56965
SH
SOLE
56965
0
0
SHOPIFY INC
CL A
82509L107
4170
3097
SH
SOLE
3097
0
0
SHOPIFY INC
Call
82509L907
781
11000
SH
Call
SOLE
11000
0
0
SHOPIFY INC
Put
82509L957
833
22800
SH
Put
SOLE
22800
0
0
SNAP INC
CL A
83304A106
1700
23686
SH
SOLE
23686
0
0
SNOWFLAKE INC
CL A
833445109
764
2601
SH
SOLE
2601
0
0
SPLUNK INC
COM
848637104
1035
7524
SH
SOLE
7524
0
0
SPLUNK INC
Call
848637904
13
5000
SH
Call
SOLE
5000
0
0
SQUARE INC
CL A
852234103
227037
947243
SH
SOLE
947243
0
0
SQUARE INC
Call
852234903
3259
301000
SH
Call
SOLE
301000
0
0
SQUARE INC
Put
852234953
3369
650000
SH
Put
SOLE
650000
0
0
TELADOC HEALTH INC
COM
87918A105
17768
141102
SH
SOLE
141102
0
0
TELADOC HEALTH INC
Call
87918A905
1040
355000
SH
Call
SOLE
355000
0
0
TELADOC HEALTH INC
Put
87918A955
5972
598100
SH
Put
SOLE
598100
0
0
TESLA INC
COM
88160R101
1917
2454
SH
SOLE
2454
0
0
TEXAS INSTRS INC
COM
882508104
6454
33577
SH
SOLE
33577
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
14
24
SH
SOLE
24
0
0
TWILIO INC
CL A
90138F102
190
607
SH
SOLE
607
0
0
TYSON FOODS INC
CL A
902494103
1394
17655
SH
SOLE
17655
0
0
US BANCORP DEL
COM NEW
902973304
33
554
SH
SOLE
554
0
0
UNITED STS OIL FD LP
UNITS
91232N207
68
1285
SH
SOLE
1285
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
9504
24323
SH
SOLE
24323
0
0
VANECK ETF TRUST
GOLD MINERS ETF
92189F106
585
19860
SH
SOLE
19860
0
0
VANECK ETF TRUST
JUNIOR GOLD MINE
92189F791
355
9269
SH
SOLE
9269
0
0
VANECK ETF TRUST
JP MRGAN EM LOC
92189H300
40
1325
SH
SOLE
1325
0
0
VANGUARD WORLD FD
ESG US STK ETF
921910733
250
3089
SH
SOLE
3089
0
0
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
265
2607
SH
SOLE
2607
0
0
VANGUARD WORLD FDS
CONSUM DIS ETF
92204A108
3517
11345
SH
SOLE
11345
0
0
VANGUARD WORLD FDS
INF TECH ETF
92204A702
12729
31709
SH
SOLE
31709
0
0
VANGUARD STOTTSDALE FDS
SHRT TRM CORP BD
92206C409
14464
175512
SH
SOLE
175512
0
0
VANGUARD STOTTSDALE FDS
LG-TERM COR BD
92206C813
8464
80168
SH
SOLE
80168
0
0
VANGUARD STOTTSDALE FDS
INT-TERM CORP
92206C870
9628
101984
SH
SOLE
101984
0
0
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
510
5013
SH
SOLE
5013
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3168
58622
SH
SOLE
58622
0
0
WALMART INC
COM
931142103
236
1680
SH
SOLE
1680
0
0
WHIRLPOOL CORP
COM
963320106
2354
11549
SH
SOLE
11549
0
0
WISDOMTREE TR
EM EX ST-OWNED
97717X578
317
8502
SH
SOLE
8502
0
0
WISDOMTREE TR
CLOUD COMPUTNG
97717Y691
6941
120465
SH
SOLE
120465
0
0
ZOETIS INC
CL A
98978V103
285
1462
SH
SOLE
1462
0
0
ZSCALER INC
COM
98980G102
1972
7619
SH
SOLE
7619
0
0
ZSCALER INC
Call
98980G902
698
54000
SH
Call
SOLE
54000
0
0
ZSCALER INC
Put
98980G952
368
80000
SH
Put
SOLE
80000
0
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
363
1412
SH
SOLE
1412
0
0
CAPRI HOLDINGS LIMITED
SHS
G1890L107
257
5010
SH
SOLE
5010
0
0