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Form 13F-HR SUMITOMO MITSUI FINANCIA For: Mar 31

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May 13, 2021 6:17 AM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: SUMITOMO MITSUI FINANCIAL GROUP, INC.
Address: 1-2, MARUNOUCHI 1-CHOME
CHIYODA-KU
TOKYO , M0100-0005
Form 13F File Number: 028-17794

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Katsuya Fujita
Title: General Manager Planning Dept, Global Markets Busines Unit
Phone: 81-3-6706-6576
Signature, Place, and Date of Signing:
/s/ Katsuya Fujita Tokyo , M0 05-13-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 140
Form 13F Information Table Value Total: 203,310
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
Sumitomo Mitsui Banking Corporation
SMBC Trust Bank Ltd.
SMBC Nikko Securities Inc.
Sumitomo Mitsui Card Company, Limited

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name
1 Sumitomo Mitsui Banking Corporation
2 SMBC Trust Bank Ltd.
3 SMBC Nikko Securities Inc.
4 Sumitomo Mitsui Card Company, Limited

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
TELADOC HEALTH INC COM 87918A105 3,749 21,454 SH SOLE 21,454 0 0
CROWDSTRIKE HLDGS INC CL A 22788C105 2,804 16,000 SH SOLE 16,000 0 0
PAYPAL HLDGS INC COM 70450Y103 1,873 7,920 SH SOLE 7,920 0 0
AMAZON COM INC COM 023135106 10,180 3,296 SH SOLE 3,296 0 0
APPLE INC COM 037833100 8,246 67,641 SH SOLE 67,641 0 0
SPLUNK INC COM 848637104 1,341 10,164 SH SOLE 10,164 0 0
APPLIED MATLS INC COM 038222105 1,304 10,291 SH SOLE 10,291 0 0
SALESFORCE COM INC COM 79466L302 1,226 5,839 SH SOLE 5,839 0 0
ZSCALER INC COM 98980G102 1,173 7,077 SH SOLE 7,077 0 0
ADVANCED MICRO DEVICES INC COM 007903107 867 11,406 SH SOLE 11,406 0 0
DISNEY WALT CO COM 254687106 776 4,184 SH SOLE 4,184 0 0
MORGAN STANLEY COM NEW 617446448 690 8,725 SH SOLE 8,725 0 0
COSTCO WHSL CORP NEW COM 22160K105 2,638 7,493 SH SOLE 7,493 0 0
DOCUSIGN INC COM 256163106 491 2,492 SH SOLE 2,492 0 0
FIREEYE INC COM 31816Q101 467 24,208 SH SOLE 24,208 0 0
ADOBE SYSTEMS INCORPORATED COM 00724F101 451 969 SH SOLE 969 0 0
MICRON TECHNOLOGY INC COM 595112103 419 4,841 SH SOLE 4,841 0 0
OKTA INC CL A 679295105 364 1,704 SH SOLE 1,704 0 0
FACEBOOK INC CL A 30303M102 357 1,240 SH SOLE 1,240 0 0
NETFLIX INC COM 64110L106 293 571 SH SOLE 571 0 0
RH COM 74967X103 243 405 SH SOLE 405 0 0
EXXON MOBIL CORP COM 30231G102 16 287 SH SOLE 287 0 0
THERMO FISHER SCIENTIFIC INC COM 883556102 142 315 SH SOLE 315 0 0
ALPHABET INC CAP STK CL A 02079K305 119 58 SH SOLE 58 0 0
LAM RESEARCH CORP COM 512807108 101 176 SH SOLE 176 0 0
FEDEX CORP COM 31428X106 66 231 SH SOLE 231 0 0
GENERAL ELECTRIC CO COM 369604103 38 2,829 SH SOLE 2,829 0 0
MASTERCARD INCORPORATED CL A 57636Q104 35 97 SH SOLE 97 0 0
ELECTRONIC ARTS INC COM 285512109 30 223 SH SOLE 223 0 0
KEYSIGHT TECHNOLOGIES INC COM 49338L103 12 83 SH SOLE 83 0 0
INTUITIVE SURGICAL INC COM NEW 46120E602 7 10 SH SOLE 10 0 0
CAPRI HOLDINGS LIMITED SHS G1890L107 1 24 SH SOLE 24 0 0
DELTA AIR LINES INC DEL COM NEW 247361702 0 5 SH SOLE 5 0 0
APPLE INC Call 037833900 1,006 192,430 SH Call SOLE 192,430 0 0
APPLE INC Put 037833950 1,061 571,100 SH Put SOLE 571,100 0 0
ADVANCED MICRO DEVICES INC Call 007903907 2,210 615,000 SH Call SOLE 615,000 0 0
ADVANCED MICRO DEVICES INC Put 007903957 914 768,100 SH Put SOLE 768,100 0 0
AMAZON COM INC Call 023135906 1,257 12,211 SH Call SOLE 12,211 0 0
AMAZON COM INC Put 023135956 1,503 30,300 SH Put SOLE 30,300 0 0
CROWDSTRIKE HLDGS INC Call 22788C905 1,211 150,000 SH Call SOLE 150,000 0 0
CROWDSTRIKE HLDGS INC Put 22788C955 3,100 443,600 SH Put SOLE 443,600 0 0
DOCUSIGN INC Call 256163906 1,350 78,000 SH Call SOLE 78,000 0 0
DOCUSIGN INC Put 256163956 629 150,000 SH Put SOLE 150,000 0 0
FACEBOOK INC Put 30303M952 32 10,000 SH Put SOLE 10,000 0 0
NETFLIX INC Put 64110L956 237 46,000 SH Put SOLE 46,000 0 0
NVIDIA CORPORATION Call 67066G904 1,732 54,500 SH Call SOLE 54,500 0 0
NVIDIA CORPORATION Put 67066G954 1,628 129,400 SH Put SOLE 129,400 0 0
OKTA INC Call 679295905 561 40,000 SH Call SOLE 40,000 0 0
OKTA INC Put 679295955 737 90,000 SH Put SOLE 90,000 0 0
SPLUNK INC Call 848637904 78 10,000 SH Call SOLE 10,000 0 0
SPLUNK INC Put 848637954 320 27,500 SH Put SOLE 27,500 0 0
SQUARE INC Call 852234903 1,278 95,000 SH Call SOLE 95,000 0 0
SQUARE INC Put 852234953 647 125,000 SH Put SOLE 125,000 0 0
TELADOC HEALTH INC Call 87918A905 549 60,000 SH Call SOLE 60,000 0 0
TELADOC HEALTH INC Put 87918A955 2,862 241,100 SH Put SOLE 241,100 0 0
ZSCALER INC Call 98980G902 1,267 185,000 SH Call SOLE 185,000 0 0
ZSCALER INC Put 98980G952 2,044 230,000 SH Put SOLE 230,000 0 0
FORD MTR CO DEL Call 345370900 571 184,164 SH Call SOLE 184,164 0 0
BOEING CO Call 097023905 1,527 1,453 SH Call SOLE 1,453 0 0
CAPRI HOLDINGS LIMITED Call G1890L907 43 10,230 SH Call SOLE 10,230 0 0
JOHNSON & JOHNSON Call 478160904 18 3,000 SH Call SOLE 3,000 0 0
MICRON TECHNOLOGY INC Call 595112903 701 23,560 SH Call SOLE 23,560 0 0
UNDER ARMOUR INC Call 904311907 82 45,331 SH Call SOLE 45,331 0 0
AIR PRODS & CHEMS INC COM 009158106 5,306 18,861 SH SOLE 18,861 0 0
ALPHABET INC CAP STK CL C 02079K107 10,645 5,146 SH SOLE 5,146 0 0
ALTRIA GROUP INC COM 02209S103 9 170 SH SOLE 170 0 0
HOME DEPOT INC COM 437076102 2,121 6,947 SH SOLE 6,947 0 0
AMGEN INC COM 031162100 5,221 20,982 SH SOLE 20,982 0 0
AT&T INC COM 00206R102 3,253 107,463 SH SOLE 107,463 0 0
BANK NEW YORK MELLON CORP COM 064058100 187 3,954 SH SOLE 3,954 0 0
BLACKROCK INC COM 09247X101 7,455 9,888 SH SOLE 9,888 0 0
BRISTOL-MYERS SQUIBB CO COM 110122108 5,172 81,934 SH SOLE 81,934 0 0
BROADCOM INC COM 11135F101 9,778 21,088 SH SOLE 21,088 0 0
CISCO SYS INC COM 17275R102 2,154 41,652 SH SOLE 41,652 0 0
COCA COLA CO COM 191216100 4,925 93,434 SH SOLE 93,434 0 0
D R HORTON INC COM 23331A109 7,721 86,635 SH SOLE 86,635 0 0
EXCHANGE TRADED CONCEPTS TR EMQQ EM INTERN 301505889 2,019 31,595 SH SOLE 31,595 0 0
ISHARES TR CHINA LG-CAP ETF 464287184 74,365 1,593,770 SH SOLE 1,593,770 0 0
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 2,280 54,528 SH SOLE 54,528 0 0
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 5,951 62,145 SH SOLE 62,145 0 0
FIRST TR EXCHANGE-TRADED FD NAS CLNEDG GREEN 33733E500 4,187 61,038 SH SOLE 61,038 0 0
GENERAL MLS INC COM 370334104 670 10,921 SH SOLE 10,921 0 0
GLOBAL X FDS MSCI CHINA CNSMR 37950E408 435 12,992 SH SOLE 12,992 0 0
GLOBAL X FDS US INFR DEV ETF 37954Y673 2,682 107,071 SH SOLE 107,071 0 0
GRAINGER W W INC COM 384802104 4,777 11,915 SH SOLE 11,915 0 0
ILLINOIS TOOL WKS INC COM COM 452308109 643 2,903 SH SOLE 2,903 0 0
INTUIT COM 461202103 5,970 15,586 SH SOLE 15,586 0 0
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 255 4,387 SH SOLE 4,387 0 0
INVESCO EXCHANGE-TRADED FD T TAXABLE MUN BD 46138G805 19,704 615,169 SH SOLE 615,169 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 12,839 40,230 SH SOLE 40,230 0 0
ISHARES INC MSCI JPN ETF NEW 46434G822 218 3,179 SH SOLE 3,179 0 0
ISHARES INC MSCI MLY ETF NEW 46434G814 11 411 SH SOLE 411 0 0
ISHARES INC MSCI BRAZIL ETF 464286400 40 1,192 SH SOLE 1,192 0 0
ISHARES INC CORE MSCI EMKT 46434G103 29 456 SH SOLE 456 0 0
ISHARES TR CORE US AGGBD ET 464287226 47,932 421,081 SH SOLE 421,081 0 0
ISHARES TR ISHS 1-5YR INVS 464288646 68,458 1,251,981 SH SOLE 1,251,981 0 0
ISHARES TR SELECT DIVID ETF 464287168 554 4,854 SH SOLE 4,854 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 46,619 873,992 SH SOLE 873,992 0 0
ISHARES TR JPMORGAN USD EMG 464288281 2,000 18,367 SH SOLE 18,367 0 0
ISHARES TR US TREAS BD ETF 46429B267 112 4,297 SH SOLE 4,297 0 0
ISHARES TR CUR HD EURZN ETF 46434V639 39 1,130 SH SOLE 1,130 0 0
ISHARES TR IBOXX INV CP ETF 464287242 359,927 2,767,605 SH SOLE 2,767,605 0 0
ISHARES TR NASDAQ BIOTECH 464287556 2,806 18,635 SH SOLE 18,635 0 0
ISHARES TR BARCLAYS 7 10 YR 464287440 30,058 266,168 SH SOLE 266,168 0 0
ISHARES TR US OIL GS EX ETF 464288851 34 701 SH SOLE 701 0 0
ISHARES TR EXPANDED TECH 464287515 5,561 16,274 SH SOLE 16,274 0 0
ISHARES TR CORE S&P SCP ETF 464287804 99 915 SH SOLE 915 0 0
ISHARES TR MSCI INDIA ETF 46429B598 1,308 31,047 SH SOLE 31,047 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 342 1,547 SH SOLE 1,547 0 0
ISHARES TR U.S. ENERGY ETF 464287796 2,953 112,593 SH SOLE 112,593 0 0
ISHARES TR U.S. REAL ES ETF 464287739 3,063 33,317 SH SOLE 33,317 0 0
ISHARES TR MBS ETF 464288588 30,870 284,722 SH SOLE 284,722 0 0
ISHARES TR PFD AND INCM SEC 464288687 36,497 950,443 SH SOLE 950,443 0 0
ISHARES TR MSCI USA QLT FCT 46432F339 280 2,297 SH SOLE 2,297 0 0
ISHARES TR GLOBAL REIT ETF 46434V647 116 4,548 SH SOLE 4,548 0 0
ISHARES TR MORTGE REL ETF 46435G342 32 893 SH SOLE 893 0 0
ISHARES TR 1 3 YR TREAS BD 464287457 5,447 63,150 SH SOLE 63,150 0 0
ISHARES TR PHLX SEMICND ETF 464287523 35,435 83,575 SH SOLE 83,575 0 0
ISHARES TR TIPS BD ETF 464287176 8,757 69,775 SH SOLE 69,775 0 0
ISHARES TR 20 YR TR BD ETF 464287432 3,197 23,601 SH SOLE 23,601 0 0
ISHARES TR MSCI USA MIN VOL 46429B697 129 1,867 SH SOLE 1,867 0 0
JPMORGAN CHASE & CO COM 46625H100 7,517 49,382 SH SOLE 49,382 0 0
KIMBERLY CLARK CORP COM 494368103 4,567 32,846 SH SOLE 32,846 0 0
LAUDER ESTEE COS INC CL A 518439104 1,484 5,104 SH SOLE 5,104 0 0
LOCKHEED MARTIN CORP COM 539830109 6,232 16,866 SH SOLE 16,866 0 0
ISHARES TR IBOXX HI YD ETF 464288513 184,684 2,118,428 SH SOLE 2,118,428 0 0
MONDELEZ INTL INC CL A 609207105 748 12,785 SH SOLE 12,785 0 0
NIKE INC CL B 654106103 17 129 SH SOLE 129 0 0
JOHNSON & JOHNSON COM 478160104 3,937 23,942 SH SOLE 23,942 0 0
OMNICOM GROUP INC COM 681919106 97 1,314 SH SOLE 1,314 0 0
PEPSICO INC COM 713448108 950 6,713 SH SOLE 6,713 0 0
PFIZER INC COM 717081103 4,636 127,963 SH SOLE 127,963 0 0
PIMCO ETF TR ACTIVE BD ETF 72201R775 2,192 20,025 SH SOLE 20,025 0 0
PROCTER & GAMBLE CO COM 742718109 2,396 17,689 SH SOLE 17,689 0 0
PROSHARES TR SHORT S&P 500 NE 74347B425 804 48,000 SH SOLE 48,000 0 0
QUALCOMM INC COM 747525103 8,322 62,766 SH SOLE 62,766 0 0
SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 2,363 32,223 SH SOLE 32,223 0 0
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 5,114 74,864 SH SOLE 74,864 0 0
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2,960 46,217 SH SOLE 46,217 0 0
MICROSOFT CORP COM 594918104 13,091 55,630 SH SOLE 55,630 0 0
SPDR SER TR S&P DIVID ETF 78464A763 3,333 28,239 SH SOLE 28,239 0 0
SPDR SER TR S&P BIOTECH 78464A870 1,581 11,656 SH SOLE 11,656 0 0
TEXAS INSTRS INC COM 882508104 3,713 19,644 SH SOLE 19,644 0 0
TYSON FOODS INC CL A 902494103 892 12,010 SH SOLE 12,010 0 0
UNITEDHEALTH GROUP INC COM 91324P102 7,297 19,611 SH SOLE 19,611 0 0
VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 348 7,738 SH SOLE 7,738 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 601 18,478 SH SOLE 18,478 0 0
VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 41 1,325 SH SOLE 1,325 0 0
VANGUARD INDEX FDS REAL ESTATE ETF 922908553 285 3,103 SH SOLE 3,103 0 0
VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 262 720 SH SOLE 720 0 0
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 254 2,607 SH SOLE 2,607 0 0
VANGUARD STOTTSDALE FDS INT-TERM CORP 92206C870 13,650 146,732 SH SOLE 146,732 0 0
VANGUARD STOTTSDALE FDS LG-TERM COR BD 92206C813 6,738 66,545 SH SOLE 66,545 0 0
VANGUARD STOTTSDALE FDS SHRT TRM CORP BD 92206C409 10,108 122,518 SH SOLE 122,518 0 0
VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 2,670 9,040 SH SOLE 9,040 0 0
VANGUARD WORLD FDS INF TECH ETF 92204A702 12,384 34,544 SH SOLE 34,544 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 5,598 96,274 SH SOLE 96,274 0 0
WHIRLPOOL CORP COM 963320106 1,000 4,538 SH SOLE 4,538 0 0
WISDOMTREE TR CLOUD COMPUTNG 97717Y691 5,179 107,531 SH SOLE 107,531 0 0
WISDOMTREE TR EM EX ST-OWNED 97717X578 67 1,654 SH SOLE 1,654 0 0
SQUARE INC CL A 852234103 206,146 907,930 SH SOLE 907,930 0 0
CME GROUP INC COM 12572Q105 96,365 471,846 SH SOLE 471,846 0 0
ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 679,674 12,130,540 SH SOLE 12,130,540 0 0
NVIDIA CORPORATION COM 67066G104 12,451 23,427 SH SOLE 23,427 0 0
ISHARES TR CORE S&P500 ETF 464287200 413,733 1,040,000 SH SOLE 1,040,000 0 0
ISHARES INC MSCI STH KOR ETF 464286772 19,016 212,000 SH SOLE 212,000 0 0
ISHARES INC MSCI TAIWAN ETF 46434G772 41,972 700,000 SH SOLE 700,000 0 0
ISHARES TR MSCI CHINA ETF 46429B671 58,007 710,000 SH SOLE 710,000 0 0
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 526,637 1,595,000 SH SOLE 1,595,000 0 0
SPDR S&P500 ETF TR TR UNIT 78462F103 347,237 876,133 SH SOLE 876,133 0 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 90,047 1,730,000 SH SOLE 1,730,000 0 0
DBX ETF TR XTRACK HRVST CSI 233051879 113,929 2,950,000 SH SOLE 2,950,000 0 0
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 82,993 843,000 SH SOLE 843,000 0 0
SELECT SECTOR SPDR TR ENERGY 81369Y506 28,896 589,000 SH SOLE 589,000 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 54,983 414,000 SH SOLE 414,000 0 0
SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 52,638 668,000 SH SOLE 668,000 0 0
SPDR GOLD TR GOLD SHS 78463V107 95,045 594,177 SH SOLE 594,177 0 0
UNITED STS OIL FD LP UNITS 91232N207 26,440 652,341 SH SOLE 652,341 0 0

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