JEF

SEC source: 0001214659-26-012761 · marketforms-74128.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Indirect · By Reporting Person's Trusts

Disclosed balance after: 1,216,478

SEC source: 0001214659-26-012521 · marketforms-74088.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,854,174

F1 · kind: Gift of shares to family trust, of which the reporting person is neither a trustee nor a beneficiary.

SEC source: 0001214659-26-011109 · marketforms-73848.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,625,397

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011108 · marketforms-73849.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,037,263

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011107 · marketforms-73851.xml · nonDerivative · entry 1

Larson Matthew Scott · CIK 0001950875 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,756

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011106 · marketforms-73850.xml · nonDerivative · entry 1

Sharp Michael J. · CIK 0001506427 · EVP and General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,409

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011105 · marketforms-73855.xml · nonDerivative · entry 1

Weiler Melissa · CIK 0001845244 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,147

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011104 · marketforms-73854.xml · nonDerivative · entry 1

Ellis-Kirk Matrice · CIK 0001345891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,147

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011103 · marketforms-73853.xml · nonDerivative · entry 1

O Kane Michael T · CIK 0001334579 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,030

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-011102 · marketforms-73852.xml · nonDerivative · entry 1

BEYER ROBERT D · CIK 0001188302 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,257

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-009794 · marketforms-73743.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,008,247

F1 · kind: Charitable gift of shares to a non-profit organization.

F1 · shares: Charitable gift of shares to a non-profit organization.

SEC source: 0001193125-26-306696 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 8,566,379

F1 · price: The price paid by an affiliate of the Reporting Person for the reported securities is subject to adjustment following an approximately two-month reference period pursuant to an agreement previously entered into between an affiliate of the Reporting Person and an unaffiliated third-party.

F2 · ownership.nature: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-360109 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 8,566,379

F1 · price: This Form 4/A amends the Form 4 originally filed on July 17, 2026 to report the final adjusted purchase price for the reported securities following completion of the reference period under the agreement previously entered into between an affiliate of the Reporting Person and an unaffiliated third-party. The final adjusted purchase price is $54.86 per share.

F2 · ownership.nature: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-301384 · ownership.xml · nonDerivative · entry 2

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 40,579,081

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · kind: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non-voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F1 · price: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · price: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non-voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F3 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-301384 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 2,659,837

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · kind: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non-voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F1 · price: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · price: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non-voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F3 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-293480 · ownership.xml · derivative · entry 2

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Non-Voting Common Stock · 27,562,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects shares of Series B Non-Voting Convertible Preferred Shares that would have automatically converted into non-voting common stock of the Issuer on the third anniversary of the date of issuance (and may have converted into voting common stock in certain other circumstances described in the Exchange Agreement between the Issuer and the Reporting Person). Upon conversion, each share of Series B Non-Voting Convertible Preferred Shares would convert into 500 shares of the applicable class of common stock of the Issuer, subject to certain adjustments as set forth in the Restated Certificate of Incorporation of the Issuer (the "Charter"). The Series B Non-Voting Convertible Preferred Shares had no expiration date. Pursuant to the express terms of Article Seventh, Section 3(a)(i) of the Charter, each issued and outstanding share of Series B Non-Voting Convertible Preferred Shares was converted into 500 shares of Non-Voting Common Stock on June 30, 2026 for no consideration.

F1 · derivative.exercise_date: Reflects shares of Series B Non-Voting Convertible Preferred Shares that would have automatically converted into non-voting common stock of the Issuer on the third anniversary of the date of issuance (and may have converted into voting common stock in certain other circumstances described in the Exchange Agreement between the Issuer and the Reporting Person). Upon conversion, each share of Series B Non-Voting Convertible Preferred Shares would convert into 500 shares of the applicable class of common stock of the Issuer, subject to certain adjustments as set forth in the Restated Certificate of Incorporation of the Issuer (the "Charter"). The Series B Non-Voting Convertible Preferred Shares had no expiration date. Pursuant to the express terms of Article Seventh, Section 3(a)(i) of the Charter, each issued and outstanding share of Series B Non-Voting Convertible Preferred Shares was converted into 500 shares of Non-Voting Common Stock on June 30, 2026 for no consideration.

F1 · derivative.expiration_date: Reflects shares of Series B Non-Voting Convertible Preferred Shares that would have automatically converted into non-voting common stock of the Issuer on the third anniversary of the date of issuance (and may have converted into voting common stock in certain other circumstances described in the Exchange Agreement between the Issuer and the Reporting Person). Upon conversion, each share of Series B Non-Voting Convertible Preferred Shares would convert into 500 shares of the applicable class of common stock of the Issuer, subject to certain adjustments as set forth in the Restated Certificate of Incorporation of the Issuer (the "Charter"). The Series B Non-Voting Convertible Preferred Shares had no expiration date. Pursuant to the express terms of Article Seventh, Section 3(a)(i) of the Charter, each issued and outstanding share of Series B Non-Voting Convertible Preferred Shares was converted into 500 shares of Non-Voting Common Stock on June 30, 2026 for no consideration.

F2 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-293480 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 36,809,581

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects shares of Series B Non-Voting Convertible Preferred Shares that would have automatically converted into non-voting common stock of the Issuer on the third anniversary of the date of issuance (and may have converted into voting common stock in certain other circumstances described in the Exchange Agreement between the Issuer and the Reporting Person). Upon conversion, each share of Series B Non-Voting Convertible Preferred Shares would convert into 500 shares of the applicable class of common stock of the Issuer, subject to certain adjustments as set forth in the Restated Certificate of Incorporation of the Issuer (the "Charter"). The Series B Non-Voting Convertible Preferred Shares had no expiration date. Pursuant to the express terms of Article Seventh, Section 3(a)(i) of the Charter, each issued and outstanding share of Series B Non-Voting Convertible Preferred Shares was converted into 500 shares of Non-Voting Common Stock on June 30, 2026 for no consideration.

F1 · price: Reflects shares of Series B Non-Voting Convertible Preferred Shares that would have automatically converted into non-voting common stock of the Issuer on the third anniversary of the date of issuance (and may have converted into voting common stock in certain other circumstances described in the Exchange Agreement between the Issuer and the Reporting Person). Upon conversion, each share of Series B Non-Voting Convertible Preferred Shares would convert into 500 shares of the applicable class of common stock of the Issuer, subject to certain adjustments as set forth in the Restated Certificate of Incorporation of the Issuer (the "Charter"). The Series B Non-Voting Convertible Preferred Shares had no expiration date. Pursuant to the express terms of Article Seventh, Section 3(a)(i) of the Charter, each issued and outstanding share of Series B Non-Voting Convertible Preferred Shares was converted into 500 shares of Non-Voting Common Stock on June 30, 2026 for no consideration.

F2 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001214659-26-006942 · marketforms-73298.xml · nonDerivative · entry 3

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,549,867

F3 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006942 · marketforms-73298.xml · nonDerivative · entry 2

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,452,731

F2 · kind: Shares withheld to pay tax liability resulting from distribution of deferred shares related to long-term equity grants.

SEC source: 0001214659-26-006941 · marketforms-73299.xml · nonDerivative · entry 2

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,089,981

F2 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

F2 · shares: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006940 · marketforms-73300.xml · nonDerivative · entry 1

Sharp Michael J. · CIK 0001506427 · EVP and General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,663

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006939 · marketforms-73301.xml · nonDerivative · entry 1

Larson Matthew Scott · CIK 0001950875 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,010

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006938 · marketforms-73304.xml · nonDerivative · entry 1

Weiler Melissa · CIK 0001845244 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,982

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006936 · marketforms-73303.xml · nonDerivative · entry 1

O Kane Michael T · CIK 0001334579 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,492

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006937 · marketforms-73305.xml · nonDerivative · entry 1

Ellis-Kirk Matrice · CIK 0001345891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,982

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006935 · marketforms-73302.xml · nonDerivative · entry 1

BEYER ROBERT D · CIK 0001188302 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,756

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006942 · marketforms-73298.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,463,276

F1 · kind: Forfeiture of PSUs relating to prior equity grants due to recalculation of performance metrics. These transactions are exempt under Rule 16b-3(e) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006941 · marketforms-73299.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,060,978

F1 · kind: Forfeiture of PSUs relating to prior equity grants due to recalculation of performance metrics. These transactions are exempt under Rule 16b-3(e) under the Securities Exchange Act of 1934.

F1 · shares: Forfeiture of PSUs relating to prior equity grants due to recalculation of performance metrics. These transactions are exempt under Rule 16b-3(e) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-006750 · marketforms-73271.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,463,763

F1 · kind: Shares withheld to pay tax liability resulting from distribution of long-term equity grants.

SEC source: 0001214659-26-005870 · marketforms-73145.xml · nonDerivative · entry 2

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,061,442

F1 · kind: Sale of fractional shares to facilitate brokerage account closings.

F1 · shares: Sale of fractional shares to facilitate brokerage account closings.

SEC source: 0001214659-26-005870 · marketforms-73145.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,061,442

F1 · kind: Sale of fractional shares to facilitate brokerage account closings.

F1 · shares: Sale of fractional shares to facilitate brokerage account closings.

SEC source: 0001193125-26-202612 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 6,429,337

F1 · price: The price paid by an affiliate of the Reporting Person for the reported securities is subject to adjustment following an approximately two-month reference period pursuant to an agreement previously entered into between an affiliate of the Reporting Person and an unaffiliated third-party.

F2 · ownership.nature: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-287540 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 6,429,337

F1 · price: This Form 4/A amends the Form 4 originally filed on May 4, 2026 to report the final adjusted purchase price for the reported securities following completion of the reference period under the agreement previously entered into between an affiliate of the Reporting Person and an unaffiliated third-party. The final adjusted purchase price is $54.83 per share.

F2 · ownership.nature: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person.

F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-188828 · ownership.xml · nonDerivative · entry 2

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 9,247,081

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · kind: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F1 · price: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · price: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F3 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001193125-26-188828 · ownership.xml · nonDerivative · entry 1

SUMITOMO MITSUI FINANCIAL GROUP, INC. · CIK 0001022837 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · kind: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F1 · price: Pursuant to the terms of that certain Amended and Restated Exchange Agreement, dated as of September 19, 2025 (the "A&R Exchange Agreement"), by and between the Issuer and Sumitomo Mitsui Banking Corporation ("SMBC"), a direct, wholly-owned subsidiary of the Reporting Person, SMBC has the right to exchange its shares of common stock of the Issuer for shares of non-voting common stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.

F2 · price: SMBC's right under the A&R Exchange Agreement to exchange shares of common stock of the Issuer for shares of non-voting stock of the Issuer will expire on the earliest to occur of (i) September 19, 2026 (or such later date as agreed between SMBC and the Issuer), (ii) the date on which a certain business alliance between the Reporting Person and its affiliates and the Issuer and its affiliates is terminated and (iii) the date on which an aggregate of 14,132,500 shares of common stock of the Issuer have (following September 19, 2025) been exchanged for either shares of non-voting common stock of the Issuer or shares of non voting series B-1 preferred stock of Issuer pursuant to the A&R Exchange Agreement.

F3 · ownership.nature: The reported securities are held directly by SMBC, a wholly-owned subsidiary of the Reporting Person.

F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.

SEC source: 0001214659-26-003952 · marketforms-72788.xml · nonDerivative · entry 1

Weiler Melissa · CIK 0001845244 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,817

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003947 · marketforms-72783.xml · nonDerivative · entry 1

Ellis-Kirk Matrice · CIK 0001345891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,817

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003951 · marketforms-72787.xml · nonDerivative · entry 1

O Kane Michael T · CIK 0001334579 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,954

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003950 · marketforms-72786.xml · nonDerivative · entry 1

Katz Jacob M · CIK 0001715063 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,293

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003949 · marketforms-72785.xml · nonDerivative · entry 1

JONES THOMAS W · CIK 0001192374 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,701

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003948 · marketforms-72784.xml · nonDerivative · entry 1

Gilmartin MaryAnne · CIK 0001760844 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,293

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003946 · marketforms-72782.xml · nonDerivative · entry 1

BEYER ROBERT D · CIK 0001188302 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,255

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-003945 · marketforms-72781.xml · nonDerivative · entry 1

Adamany Linda · CIK 0001571607 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,759

F1 · kind: Acquisition of securities under Jefferies Financial Group Inc.'s Equity Compensation Plan in a transaction exempt under Rule 16b-3(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-002851 · marketforms-72393.xml · nonDerivative · entry 2

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Reporting Person's 2025-B LLC

Disclosed balance after: 259,010

F1 · kind: Shares gifted to a LLC of which Reporting Person is the manager and Reporting Person's trusts are its members. This transfer reflects tax planning and results in no increases or decreases to Reporting Person's beneficial holdings. These transactions may be exempt under Rule 16a-13.

SEC source: 0001214659-26-002851 · marketforms-72393.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,406,540

F1 · kind: Shares gifted to a LLC of which Reporting Person is the manager and Reporting Person's trusts are its members. This transfer reflects tax planning and results in no increases or decreases to Reporting Person's beneficial holdings. These transactions may be exempt under Rule 16a-13.

SEC source: 0001214659-26-002643 · marketforms-72358.xml · nonDerivative · entry 1

FRIEDMAN BRIAN P · CIK 0001275002 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,115,411

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

F1 · shares: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-002642 · marketforms-72359.xml · nonDerivative · entry 1

HANDLER RICHARD B · CIK 0001211677 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,665,550

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-002641 · marketforms-72363.xml · nonDerivative · entry 1

Larson Matthew Scott · CIK 0001950875 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,264

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-002640 · marketforms-72357.xml · nonDerivative · entry 1

Sharp Michael J. · CIK 0001506427 · EVP and General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,917

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.

SEC source: 0001214659-26-002639 · marketforms-72356.xml · nonDerivative · entry 1

Weiler Melissa · CIK 0001845244 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,356

F1 · kind: Acquisition of deferred shares as a dividend reinvestment in a transaction exempt under Rule 16-b(3)(d)(1) & (2) under the Securities Exchange Act of 1934.