News Release


[Sumitomo Mitsui Financial Group, Inc.]Notice Regarding Result of Third-Party Allotment(1/1)

Sumitomo Mitsui Financial Group, Inc.

 

Notice Regarding Result of Third-Party Allotment

 

 

TOKYO, February 5, 2010 --- Sumitomo Mitsui Financial Group, Inc. (“SMFG”, President: Teisuke Kitayama) hereby announces that, relating to the issuance of new shares of its common stock by way of third-party allotment resolved at the meeting of the Board of Directors held on January 6, 2010, based on the right SMFG granted to a third party to be allotted up to 20,000,000 newly issued shares of SMFG common stock, it received notice that the third party will subscribe in full for the shares, as set forth below.

 

 

(1)

Number of Shares to be Issued

 

20,000,000 shares

(2)

Total Amount to be Paid

 

¥54,056,200,000

(3)

Amount of Stated Capital and

Additional Paid-in Capital to be Increased

 

 

Subscription Period

The Amount of Stated Capital to be Increased:

 

 

¥27,028,100,000

 

The Amount of Additional Paid-in Capital to be Increased:                                               ¥27,028,100,000

(4)

 

Tuesday, February 9, 2010

(5)

Payment Date

 

Wednesday, February 10, 2010

 


Reference

 

1. This third-party allotment was resolved at the meeting of the Board of Directors held on January 6, 2010 together with SMFG’s issuance of new shares by way of offering and secondary offering of shares (offering by way of over allotment).  With regard to the content of the third-party allotment, please see “Notice Regarding Issuance of New Shares and Secondary Offering of Shares” as of January 6, 2010 and “Notice Regarding Determination of Issue Price, Selling Price, etc.” as of January 20, 2010.

 

2. Change in the number of issued shares as a result of the third-party allotment

 

(1)

Total number of issued shares at present

 (as of January 31, 2010):

Common Stock

Type 4 Preferred Stock

Type 6 Preferred Stock

1,394,055,625 shares

33,400 shares

70,001 shares

(Note 1)

(Note 2)

 

 

Total:

1,394,159,026 shares

 

(2)

Increase in number of shares by way of the third-party allotment:

Common Stock

20,000,000 shares

 

(3)

Total number of issued shares after the third-party allotment:

Common Stock

Type 4 Preferred Stock

Type 6 Preferred Stock

1,414,055,625 shares

33,400 shares

70,001 shares

(Note 1)

(Note 2)

 

 

Total:

1,414,159,026 shares

 

Notes:      1. The figure includes Common Stock issued on January 28, 2010 upon exercise of acquisition right granted to Type 4 Preferred Stock (total of 33,400 shares). For details, please see “Notice Regarding the Exercise of Acquisition Right of Preferred Stock” as of January 28, 2010.

2. The shares of Type 4 Preferred Stock repurchased through the exercise of acquisition right as described above are held as treasury stock, and will subsequently be cancelled pursuant to article 178 of the Company Law.

 

3. Use of proceeds

 

SMFG plans to use the proceeds from the third-party allotment of ¥53,788,200,000, along with the proceeds from the offering of new shares of ¥914,286,400,000 resolved as of the same date, to subscribe for shares of common stock to be issued by Sumitomo Mitsui Banking Corporation, a wholly owned subsidiary of SMFG.



Note:   This press release does not constitute an offer of any securities for sale. This press release has been prepared for the sole purpose of publicly announcing the result of the third-party allotment, and not for the purpose of soliciting investment or engaging in any other similar activities within or outside Japan. This press release is not an offer of securities for sale in the United States. The securities referred to above have not been, and will not be registered under the United States Securities Act of 1933, as amended (the gSecurities Acth). The securities may not be offered or sold in the United States absent registration or an exemption from registration under the Securities Act.The securities referred to above will not be publicly offered or sold in the United States.




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