organization · Reporting owner
SUMITOMO MITSUI FINANCIAL GROUP, INC.
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ares Private Markets FundNONE · Entity 39709 | 10% owner | April 01, 2022 | April 11, 2022 |
| Jefferies Financial Group Inc.JEF · Entity 3502 | Director | July 15, 2026 | August 21, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ares Private Markets Fund
Report date April 01, 2022 · Filed April 11, 2022
Jointly reported with SUMITOMO MITSUI BANKING CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I SharesSEC Table I · non-derivative | IndirectSee Footnote | 3,000,000 |
Reported balance
Holding disclosure · report date 2022-04-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,000,000 F1: Reflects securities held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of Sumitomo Mitsui Financial Group, Inc. F2: Each of the Reporting Persons states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose or that such securities are subject to Section 16. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of Sumitomo Mitsui Financial Group, Inc.
F2: Each of the Reporting Persons states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose or that such securities are subject to Section 16.
Jefferies Financial Group Inc.
Report date July 15, 2026 · Filed August 21, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,566,379 |
Reported balance
After 2026-07-15 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-07-15 · Purchase · Acquired 5,906,542 · Balance 8,566,379 F1: 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: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person. F3: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: The reported securities are held directly by Sumitomo Mitsui Banking Corporation, a direct, wholly-owned subsidiary of the Reporting Person.
F3: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 15, 2026 Filed Jul 17, 2026 10:15 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | PurchaseCommon Stock | 5,906,542 | $53.96 | $318,717,006.32 |
DisclosureSEC 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. Read SEC document |
| July 15, 2026 Filed Aug 21, 2026 13:36 UTC Amendment | Jefferies Financial Group Inc. JEF · Entity 3502 | PurchaseCommon Stock | 5,906,542 | $54.86 | $324,032,894.12 |
DisclosureSEC 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. Read SEC document |
| July 10, 2026 Filed Jul 13, 2026 10:10 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionNon-Voting Common Stock | 3,769,500 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| July 10, 2026 Filed Jul 13, 2026 10:10 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionCommon Stock | 3,769,500 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 30, 2026 Filed Jul 2, 2026 11:54 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionSeries B Non-Voting Convertible Preferred Shares · Derivative | 55,125 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 30, 2026 Filed Jul 2, 2026 11:54 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionNon-Voting Common Stock | 27,562,500 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 01, 2026 Filed May 4, 2026 12:00 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | PurchaseCommon Stock | 6,429,337 | $48.22 | $310,022,630.14 |
DisclosureSEC 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. Read SEC document |
| May 01, 2026 Filed Jun 29, 2026 14:58 UTC Amendment | Jefferies Financial Group Inc. JEF · Entity 3502 | PurchaseCommon Stock | 6,429,337 | $54.83 | $352,520,547.71 |
DisclosureSEC 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. Read SEC document |
| April 27, 2026 Filed Apr 29, 2026 10:15 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionNon-Voting Common Stock | 9,247,081 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| April 27, 2026 Filed Apr 29, 2026 10:15 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | Exercise / conversionCommon Stock | 9,247,081 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| September 19, 2024 Filed Sep 20, 2024 01:27 UTC | Jefferies Financial Group Inc. JEF · Entity 3502 | PurchaseCommon Stock | 9,247,081 | $59.67 | $551,773,323.27 |
DisclosureSEC source: 0000950170-24-108242 · 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: 9,247,081 F1 · price: The price paid by the Reporting Person for the reported securities is subject to adjustment following a four-month reference period pursuant to an agreement previously entered into between the Reporting Person and an unaffiliated third-party. F2 · ownership.nature: The reported securities are held directly by SMBC, a direct, wholly-owned subsidiary of Sumitomo Mitsui Financial Group, Inc. ("SMFG"). F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.