Vault-13

SUMITOMO MITSUI FINL GROUP I SMFG

SPONSORED ADR · ADR · CUSIP 86562M209

264 institutional holders +6 vs Q4 2022
116,068,490116.1m shares reported held*
$923.8mreported value*
35 new 96 added 101 reduced 29 sold out net bought ≈ $19.2m (+2.7m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($262.4k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $7.96. Options: 3 managers hold calls ($1.2m notional), 3 hold puts ($276.8k).

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 243Q4 22: 258Q1 23: 264264Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 2022243
Q4 2022258
Q1 2023264

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
2000200Q4 22: 109 bought or addedQ4 22: 147 cut or sold outQ4 22Q1 23: 131 bought or addedQ1 23: 130 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022109147
Q1 2023131130

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500k$1m$1.5mQ3 22 calls: $2.0kQ3 22 puts: $0Q3 22P/C 0.00Q4 22 calls: $218.1kQ4 22 puts: $0Q4 22P/C 0.00Q1 23 calls: $1.2mQ1 23 puts: $276.8kQ1 23P/C 0.24
Numbers
QuarterCallsPutsP/C
Q3 2022$2.0k$00.00
Q4 2022$218.1k$00.00
Q1 2023$1.2m$276.8k0.24

Biggest buyers

FMR LLC Added +7,129,602+7.1m
MARSHALL WACE, LLP Added +2,309,306+2.3m
SAMLYN CAPITAL, LLC Added +1,818,673+1.8m
GOLDMAN SACHS GROUP INC Added +1,387,731+1.4m
FEDERATED HERMES, INC. Added +982,404+982.4k
UBS Group AG Added +779,119+779.1k
XY Capital Ltd Added +620,030+620.0k
Capricorn Fund Managers Ltd New +483,405+483.4k
Simplicity Solutions, LLC Added +459,457+459.5k
Qube Research & Technologies Ltd New +341,674+341.7k

Biggest sellers

LAZARD ASSET MANAGEMENT LLC Reduced -3,031,650-3.0m
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP Reduced -2,226,225-2.2m
CITADEL ADVISORS LLC Sold out -1,882,877-1.9m
JANE STREET GROUP, LLC Reduced -1,753,368-1.8m
MORGAN STANLEY Reduced -1,441,497-1.4m
Invesco Ltd. Reduced -1,435,344-1.4m
Cowen Investment Management LLC Reduced -1,000,000-1.0m
COWEN AND COMPANY, LLC Reduced -570,000-570.0k
Orbis Allan Gray Ltd Reduced -425,929-425.9k
WELLS FARGO & COMPANY/MN Reduced -334,750-334.8k

Biggest calls

GROUP ONE TRADING LLC Added $796.8k99.6k shares
PEAK6 Investments LLC New $366.4k45.8k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

PEAK6 Investments LLC New $272.8k34.1k shares
SIMPLEX TRADING, LLC New $4.0k500 shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q1 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

None reported in Q1 2023.

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 FMR LLC 0.00% of their portfolio BOSTON, MA 12,710,44812.7m $101.7m $101.7m 0.00% Added +7.1m +7,129,602
2 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 11,947,02411.9m $95.6m $95.6m 0.01% Reduced -1.4m -1,441,497
3 GOLDMAN SACHS GROUP INC 0.02% of their portfolio NEW YORK, NY 11,289,83711.3m $90.3m $90.3m 0.02% Added +1.4m +1,387,731
4 BlackRock Inc. 0.00% of their portfolio New York, NY 5,887,8175.9m $47.1m $47.1m 0.00% Added +28.4k +28,407
5 Cowen Investment Management LLC 11.81% of their portfolio NEW YORK, NY 5,643,8755.6m $45.2m $45.2m 11.81% Reduced -1.0m -1,000,000
6 LAZARD ASSET MANAGEMENT LLC 0.05% of their portfolio NEW YORK, NY 5,182,2335.2m $41.5m $41.5m 0.05% Reduced -3.0m -3,031,650
7 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 5,126,2035.1m $41.0m $41.0m 0.01% Reduced -334.8k -334,750
8 NORTHERN TRUST CORP 0.01% of their portfolio CHICAGO, IL 3,872,3463.9m $31.0m $31.0m 0.01% Added +55.6k +55,596
9 MARSHALL WACE, LLP 0.07% of their portfolio LONDON, X0 3,603,7813.6m $28.8m $28.8m 0.07% Added +2.3m +2,309,306
10 Invesco Ltd. 0.01% of their portfolio ATLANTA, GA 3,147,1173.1m $25.2m $25.2m 0.01% Reduced -1.4m -1,435,344
11 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 2,998,7853.0m $24.0m $24.0m 0.00% Reduced -185.4k -185,414
12 COWEN AND COMPANY, LLC 2.64% of their portfolio NEW YORK, NY 2,800,7302.8m $22.4m $22.4m 2.64% Reduced -570.0k -570,000
13 SAMLYN CAPITAL, LLC 0.37% of their portfolio New York, NY 2,517,7022.5m $20.1m $20.1m 0.37% Added +1.8m +1,818,673
14 RENAISSANCE TECHNOLOGIES LLC 0.03% of their portfolio NEW YORK, NY 2,369,1702.4m $19.0m $19.0m 0.03% Reduced -314.1k -314,100
15 DIMENSIONAL FUND ADVISORS LP 0.01% of their portfolio AUSTIN, TX 2,305,0782.3m $18.4m $18.4m 0.01% Added +6.2k +6,242
16 ENVESTNET ASSET MANAGEMENT INC 0.01% of their portfolio Berwyn, PA 2,177,0572.2m $13.5m $13.5m 0.01% Added +302.6k +302,550
17 CAUSEWAY CAPITAL MANAGEMENT LLC 0.32% of their portfolio LOS ANGELES, CA 1,667,5931.7m $13.3m $13.3m 0.32% Added +43.9k +43,857
18 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 1,603,7601.6m $12.8m $12.8m 0.00% Reduced -149.5k -149,516
19 D. E. Shaw & Co., Inc. 0.01% of their portfolio New York, NY 1,155,8211.2m $9.2m $9.2m 0.01% Reduced -82.4k -82,442
20 FEDERATED HERMES, INC. 0.02% of their portfolio PITTSBURGH, PA 1,022,9621.0m $8.2m $8.2m 0.02% Added +982.4k +982,404
21 CIBC WORLD MARKET INC. 0.03% of their portfolio TORONTO, A6 988,186988.2k $7.9m $7.9m 0.03% Added +136.4k +136,383
22 AMERICAN CENTURY COMPANIES INC 0.01% of their portfolio KANSAS CITY, MO 930,188930.2k $7.4m $7.4m 0.01% Added +119.6k +119,575
23 JANE STREET GROUP, LLC 0.01% of their portfolio NEW YORK, NY 876,792876.8k $7.0m $7.0m 0.01% Reduced -1.8m -1,753,368
24 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 859,885859.9k $6.9m $6.9m 0.00% Added +327.5k +327,481
25 VOLORIDGE INVESTMENT MANAGEMENT, LLC 0.03% of their portfolio JUPITER, FL 848,838848.8k $6.8m $6.8m 0.03% Reduced -143.9k -143,881
26 ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0.01% of their portfolio BOSTON, MA 846,899846.9k $6.8m $6.8m 0.01% Reduced -2.2m -2,226,225
27 UBS Group AG 0.00% of their portfolio ZURICH, V8 816,856816.9k $6.5m $6.5m 0.00% Added +779.1k +779,119
28 XY Capital Ltd 5.03% of their portfolio CENTRAL, K3 743,782743.8k $6.0m $6.0m 5.03% Added +620.0k +620,030
29 CIBC Asset Management Inc 0.02% of their portfolio TORONTO, Z4 735,669735.7k $5.9m $5.9m 0.02% Added +11.1k +11,059
30 NATIXIS ADVISORS, LLC 0.02% of their portfolio Boston, MA 701,683701.7k $5.6m $5.6m 0.02% Reduced -10.6k -10,590
31 FRANKLIN RESOURCES INC 0.00% of their portfolio San Mateo, CA 611,138611.1k $4.9m $4.9m 0.00% Reduced -296.7k -296,706
32 ANDERSON HOAGLAND & CO 0.59% of their portfolio ST LOUIS, MO 513,243513.2k $4.1m $4.1m 0.59% Added +6.8k +6,830
33 Simplicity Solutions, LLC 0.10% of their portfolio MINNEAPOLIS, MN 490,859490.9k $3.9m $3.9m 0.10% Added +459.5k +459,457
34 Bleakley Financial Group, LLC 0.13% of their portfolio PARSIPPANY, NJ 490,859490.9k $3.9m $3.9m 0.13% Added +171.3k +171,297
35 Capricorn Fund Managers Ltd 1.18% of their portfolio LONDON, X0 483,405483.4k $3.9m $3.9m 1.18% New
36 Crossmark Global Holdings, Inc. 0.08% of their portfolio HOUSTON, TX 447,229447.2k $3.6m $3.6m 0.08% Added +5.5k +5,473
37 Gilman Hill Asset Management, LLC 0.71% of their portfolio NEW CANAAN, CT 437,044437.0k $3.5m $3.5m 0.71% Added +25.3k +25,335
38 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 404,067404.1k $3.2m $3.2m 0.00% Added +18.9k +18,855
39 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 394,379394.4k $3.2m $3.2m 0.01% Reduced -102.7k -102,693
40 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 387,764387.8k $3.1m $3.1m 0.00% Reduced -22.3k -22,274
41 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 378,728378.7k $3.0m $3.0m 0.00% Reduced -16.8k -16,841
42 Qube Research & Technologies Ltd 0.02% of their portfolio LONDON, X0 341,674341.7k $2.7m $2.7m 0.02% New
43 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 336,612336.6k $1.9m $1.9m 0.00% Added +321.9k +321,864
44 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 335,212335.2k $2.7m $2.7m 0.00% Reduced -987 -987
45 GREENLEAF TRUST 0.03% of their portfolio KALAMAZOO, MI 294,889294.9k $2.4m $2.4m 0.03% Added +500 +500
46 Orion Porfolio Solutions, LLC 0.03% of their portfolio OMAHA, NE 292,747292.7k $2.3m $2.3m 0.03% Reduced -95.5k -95,504
47 Orion Portfolio Solutions, LLC 0.03% of their portfolio Omaha, NE 292,747292.7k $2.3m $2.3m 0.03% New
48 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 292,141292.1k $2.3m $2.3m 0.00% Added +15.2k +15,153
49 Te Ahumairangi Investment Management Ltd 0.33% of their portfolio WELLINGTON, Q2 284,777284.8k $2.3m $2.3m 0.33% Reduced -25.0k -25,000
50 Ninety One UK Ltd 0.01% of their portfolio London, X0 282,180282.2k $2.3m $2.3m 0.01% New
51 First Trust Direct Indexing L.P. 0.27% of their portfolio Boston, MA 280,929280.9k $2.2m $2.2m 0.27% Added +8.3k +8,324
52 THOMAS WHITE INTERNATIONAL LTD 0.47% of their portfolio CHICAGO, IL 276,474276.5k $2.2m $2.2m 0.47% Added +11.2k +11,249
53 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 263,843263.8k $2.1m $2.1m 0.00% Reduced -78.4k -78,418
54 Integrated Wealth Concepts LLC 0.04% of their portfolio WALTHAM, MA 239,582239.6k $1.9m $1.9m 0.04% New
55 Mariner, LLC 0.01% of their portfolio Overland Park, KS 238,576238.6k $1.9m $1.9m 0.01% Added +14.4k +14,438
56 Ethic Inc. 0.08% of their portfolio NEW YORK, NY 238,316238.3k $1.9m $1.9m 0.08% Added +77.6k +77,567
57 Cerity Partners LLC 0.00% of their portfolio NEW YORK, NY 235,872235.9k $1.9m $1.9m 0.00% Added +19.9k +19,879
58 O'SHAUGHNESSY ASSET MANAGEMENT, LLC 0.03% of their portfolio Stamford, CT 231,863231.9k $1.9m $1.9m 0.03% Added +38.8k +38,804
59 ADVISOR PARTNERS II, LLC 0.10% of their portfolio WALNUT CREEK, CA 220,954221.0k $1.8m $1.8m 0.10% Added +18.8k +18,835
60 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 215,223215.2k $1.7m $1.7m 0.00% Reduced -58.6k -58,621
61 Squarepoint Ops LLC 0.01% of their portfolio NEW YORK, NY 214,924214.9k $1.7m $1.7m 0.01% New
62 REGIONS FINANCIAL CORP 0.01% of their portfolio BIRMINGHAM, AL 208,698208.7k $1.7m $1.7m 0.01% Reduced -61.8k -61,780
63 HAP Trading, LLC 0.40% of their portfolio NEW YORK, NY 204,405204.4k $1.6m $1.6m 0.40% Reduced -53.2k -53,246
64 PNC Financial Services Group, Inc. 0.00% of their portfolio Pittsburgh, PA 199,296199.3k $1.6m $1.6m 0.00% Reduced -8.2k -8,177
65 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 199,211199.2k $1.6m $1.6m 0.00% Added +2.4k +2,448
66 BTC Capital Management, Inc. 0.18% of their portfolio DES MOINES, IA 194,105194.1k $1.5m $1.5m 0.18% Reduced -17.1k -17,054
67 HRT FINANCIAL LP 0.02% of their portfolio NEW YORK, NY 172,081172.1k $1.4m $1.4m 0.02% Added +136.7k +136,705
68 Legacy Wealth Asset Management, LLC 0.48% of their portfolio WOODBURY, MN 165,729165.7k $1.3m $1.3m 0.48% Reduced -16.2k -16,178
69 SIGNATUREFD, LLC 0.04% of their portfolio ATLANTA, GA 165,472165.5k $1.3m $1.3m 0.04% Added +6.6k +6,558
70 Forum Financial Management, LP 0.04% of their portfolio LOMBARD, IL 163,362163.4k $1.3m $1.3m 0.04% Added +31 +31
71 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 158,171158.2k $1.3m $1.3m 0.00% Added +31.1k +31,136
72 Laird Norton Wetherby Wealth Management, LLC 0.07% of their portfolio Seattle, WA 157,763157.8k $1.3m $1.3m 0.07% Reduced -11.0k -11,036
73 Georgetown University 0.43% of their portfolio WASHINGTON, DC 155,235155.2k $1.2m $1.2m 0.43% New
74 Banco Santander, S.A. 0.02% of their portfolio Madrid, U3 154,280154.3k $1.2m $1.2m 0.02% Not comparable
75 OPPENHEIMER ASSET MANAGEMENT INC. 0.02% of their portfolio NEW YORK, NY 147,715147.7k $1.2m $1.2m 0.02% Reduced -6.7k -6,680
76 Sanders Capital, LLC 0.00% of their portfolio West Palm Beach, FL 137,963138.0k $1.1m $1.1m 0.00% Reduced -100 -100
77 MERCER GLOBAL ADVISORS INC /ADV 0.01% of their portfolio DENVER, CO 137,606137.6k $1.1m $1.1m 0.01% Reduced -24.7k -24,669
78 Ergoteles LLC 0.04% of their portfolio NEW YORK, NY 131,188131.2k $1.0m $1.0m 0.04% New
79 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 125,732125.7k $1.0m $1.0m 0.00% Added +87.0k +87,033
80 Orbis Allan Gray Ltd 0.01% of their portfolio HamiltoN, D0 125,203125.2k $1.0m $1.0m 0.01% Reduced -425.9k -425,929
81 Quantinno Capital Management LP 0.06% of their portfolio NEW YORK, NY 121,627121.6k $973.0k $973.0k 0.06% Added +36.3k +36,342
82 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 118,100118.1k $944.8k $944.8k 0.00% New
83 M&T Bank Corp 0.00% of their portfolio BUFFALO, NY 117,433117.4k $939.8k $939.8k 0.00% Reduced -46.3k -46,303
84 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 116,928116.9k $935.5k $935.5k 0.00% Added +5.2k +5,185
85 YOUSIF CAPITAL MANAGEMENT, LLC 0.01% of their portfolio BLOOMFIELD HILLS, MI 115,331115.3k $922.6k $922.6k 0.01% Added +470 +470
86 JOHNSON INVESTMENT COUNSEL INC 0.01% of their portfolio Cincinnati, OH 112,600112.6k $900.8k $900.8k 0.01% Added +21.7k +21,700
87 Susquehanna International Group Ltd. 0.50% of their portfolio DUBLIN, L2 109,268109.3k $874.1k $874.1k 0.50% New
88 EAGLE ASSET MANAGEMENT INC 0.00% of their portfolio ST PETERSBURG, FL 103,888103.9k $831.0k $831.0k 0.00% Added +13.2k +13,234
89 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 101,847101.8k $814.8k $814.8k 0.00% Added +21.4k +21,401
90 U.S. Capital Wealth Advisors, LLC 0.04% of their portfolio AUSTIN, TX 97,84997.8k $782.8k $782.8k 0.04% Reduced -98.3k -98,285
91 Corient Private Wealth LP 0.00% of their portfolio MIAMI, FL 97,82697.8k $782.6k $782.6k 0.00% Added +43.7k +43,730
92 WESTWOOD HOLDINGS GROUP INC 0.01% of their portfolio DALLAS, TX 95,27195.3k $762.0k $762.0k 0.01% Added +90 +90
93 SCHRODER INVESTMENT MANAGEMENT GROUP 0.00% of their portfolio London, X0 94,78494.8k $758.3k $758.3k 0.00% Added +16.5k +16,549
94 BOOTHBAY FUND MANAGEMENT, LLC 0.02% of their portfolio NEW YORK, NY 93,37993.4k $747.0k $747.0k 0.02% Reduced -109.0k -109,000
95 GUGGENHEIM CAPITAL LLC 0.01% of their portfolio CHICAGO, IL 85,61485.6k $684.9k $684.9k 0.01% Reduced -1.8k -1,763
96 Advisors Asset Management, Inc. 0.01% of their portfolio Monument, CO 82,23282.2k $657.9k $657.9k 0.01% Reduced -3.0k -3,022
97 Vanguard Personalized Indexing Management, LLC 0.02% of their portfolio OAKLAND, CA 80,48180.5k $643.9k $643.9k 0.02% Added +6.1k +6,106
98 Verdence Capital Advisors LLC 0.08% of their portfolio HUNT VALLEY, MD 79,25479.3k $634.0k $634.0k 0.08% Reduced -34.5k -34,462
99 Naviter Wealth, LLC 0.22% of their portfolio LITTLE ROCK, AR 77,14477.1k $617.2k $617.2k 0.22% Added +8.7k +8,723
100 Independent Advisor Alliance 0.03% of their portfolio CHARLOTTE, NC 74,62474.6k $597.0k $597.0k 0.03% New