Mizuho Securities USA’s Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) SMFG Stock Holding History

Mizuho Securities USA’s Portfolio SMFG Stock Details SMFG Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2016 Q4	–	Sell	-76,715	Closed	-$518K	–	233
2016 Q3	$518K	Buy	+76,715	New	+$498K	0.04%	146

Other funds holding SMFG

Lazard Asset Management New York $66.1B AUM 33.53% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Northern Trust Chicago, Illinois $860B AUM 41.15% 1-Year Est. Return

JP Morgan Chase New York $1.81T AUM 41.13% 1-Year Est. Return

NMC

Nine Masts Capital Central, Hong Kong $995M AUM 22.79% 1-Year Est. Return

PPA

Parametric Portfolio Associates Seattle, Washington $190B AUM 18.52% 1-Year Est. Return

Aperio Group Sausalito, California $33.8B AUM 31.46% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Goldman Sachs New York $1.15T AUM 47.82% 1-Year Est. Return

Mizuho Securities USA's SMFG Position: Q4 2016 in Review

Mizuho Securities USA sold out of Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) (SMFG) in Q4 2016, closing a stake of 76,715 shares — an estimated $518K sold.

Mizuho Securities USA first reported a position in SMFG in Q3 2016 and held it in 1 quarter. The position peaked at $518K in Q3 2016. 182 funds tracked by Wall St. Rank hold SMFG as of Q4 2016.

Mizuho Securities USA reported no remaining Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) position as of Q4 2016 after selling out during the quarter.
Mizuho Securities USA sold 76,715 Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) shares in Q4 2016, an estimated $518K.
Mizuho Securities USA first reported a position in Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) in Q3 2016 and held it in 1 quarter.
Mizuho Securities USA's Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) position peaked at $518K in Q3 2016.
182 funds tracked by Wall St. Rank held Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) as of Q4 2016.

Based on Mizuho Securities USA's 13F filing for Q4 2016, filed 7 Feb 2017.