Insider at

04

Insider transactions

05
0 buys (P) 0 sells (S) Net: $0 + 35 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

35 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
May 4, 2023 SMBC P 1,000 $31.43 $31,430 43,450 Direct +2.36% Acquired 128.8% (price as of 2026-10-05)
Sept. 9, 2020 SMBC P 1,072 $24.43 $26,189 13,670 Indirect +8.51% Acquired 194.3% (price as of 2026-10-05)
Sept. 8, 2020 SMBC P 1,074 $24.48 $26,292 12,598 Indirect +9.32% Acquired 193.7% (price as of 2026-10-05)
Nov. 17, 2011 SMBC P 2,000 $19.00 $38,000 4,000 Direct +100.00% Acquired 656.8% (price as of 2026-10-05)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.

06
DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
Feb. 24, 2026 SMBC Stock Option (right to buy) Common Stock (2,250) $62.96 Feb. 24, 2036 2,250 Acquired
Feb. 18, 2025 SMBC Stock Option (Right to buy) Common Stock (2,000) $60.42 Feb. 18, 2035 2,000 Acquired
Feb. 8, 2024 SMBC Stock Option (Right to Buy) Common Stock (3,000) $40.82 Feb. 8, 2034 3,000 Acquired
Feb. 21, 2023 SMBC Stock Option (Right to Buy) Common Stock (3,000) $46.94 Feb. 21, 2033 3,000 Acquired
Feb. 3, 2022 SMBC Stock Option (Right to Buy) Common Stock (1,500) $53.82 Feb. 3, 2032 1,500 Acquired
Feb. 10, 2021 SMBC Stock Option (Right to Buy) Common stock (3,000) $34.91 Feb. 10, 2031 3,000 Acquired
Feb. 18, 2020 SMBC Stock Option (Right to buy) Common Stock (2,000) $37.40 Feb. 18, 2030 2,000 Acquired
Jan. 4, 2019 SMBC Stock Option (Right to Buy) Common Stock (2,000) $34.35 Jan. 4, 2029 2,000 Acquired
Feb. 8, 2018 SMBC Stock Option (Right to Buy) Common Stock (5,000) $6.38 Jan. 19, 2020 5,000 Disposed
Jan. 16, 2018 SMBC Stock Option (Right to Buy) Common Stock (2,000) $37.31 Jan. 16, 2028 2,000 Acquired
Jan. 16, 2018 SMBC Stock Option (Right to Buy) Common Stock (2,000) $37.31 Jan. 16, 2028 2,000 Acquired
Jan. 3, 2018 SMBC Stock Option (Right to Buy) Common Stock (10,000) $6.38 Jan. 19, 2020 5,000 Disposed
Jan. 3, 2018 SMBC Stock Option (Right to Buy) Common Stock (10,000) $6.38 Jan. 19, 2020 5,000 Disposed
May 13, 2014 SMBC Stock Option (Right to Buy) Common Stock (1,700) $15.23 May 18, 2014 1,700 Disposed
Aug. 13, 2013 SMBC Stock Option (Right to Buy) Common Stock (1,700) $15.23 May 18, 2014 1,700 Disposed
July 27, 2012 SMBC Stock Option (Right to Buy) Common Stock (1,600) $15.23 May 18, 2014 1,600 Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 4 holdings

07

Securities held when first becoming an insider, per SEC Form 3.

DateTickerSecuritySharesOwnership
Nov. 1, 2010 SMBC Common Stock 2,000 Direct
Nov. 1, 2010 SMBC Common Stock 2,861 Indirect
Nov. 1, 2010 SMBC Stock Option (Right to Buy)→ Common Stock (5,000) 5,000 Direct
Nov. 1, 2010 SMBC Stock Option (Right to Buy)→ Common Stock (5,000) 5,000 Direct

Compensation (DEF 14A)

08

Matched by name from proxy statements (DEF 14A) — verify against the filing.

Fiscal yearSalaryBonusStock awards Option awardsNon-equity incentivePension changeOtherTotal
2020 $223,000 $32,775 $22,440 · · · $27,879 $323,714
2019 $213,231 $35,150 $20,610 · · · $31,617 $318,168

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.