Nine Masts Capital’s Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) SMFG Stock Holding History

Nine Masts Capital’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
2020 Q4	–	Sell	-4,437,941	Closed	-$24.5M	–	49
2020 Q3	$24.5M	Sell	4,437,941 -276,982	-6%	-$1.59M	19.42%	2
2020 Q2	$26.5M	Buy	4,714,923 +4,642,698	+6,428%	+$25.1M	17.25%	1
2020 Q1	$352K	Sell	72,225 -1,026,988	-93%	-$6.62M	0.52%	13
2019 Q4	$8.17M	Sell	1,099,213 -1,607,574	-59%	-$11.6M	2.48%	12
2019 Q3	$18.5M	Buy	2,706,787 +945,650	+54%	+$6.46M	3.53%	6
2019 Q2	$12.4M	Sell	1,761,137 -893,136	-34%	-$6.32M	1.78%	10
2019 Q1	$18.6M	Sell	2,654,273 -1,670,635	-39%	-$11.9M	5.79%	6
2018 Q4	$28.8M	Buy	4,324,908 +3,771,583	+682%	+$28.2M	4.56%	4
2018 Q3	$4.47M	Buy	553,325 +349,015	+171%	+$2.76M	1.22%	13
2018 Q2	$1.59M	Buy	204,310 +191,792	+1,532%	+$1.59M	0.31%	58
2018 Q1	$105K	Sell	12,518 -344,523	-96%	-$3.08M	0.02%	176
2017 Q4	$3.09M	Sell	357,041 -73,175	-17%	-$593K	0.41%	31
2017 Q3	$3.31M	Sell	430,216 -749,779	-64%	-$5.71M	0.49%	19
2017 Q2	$9.18M	Sell	1,179,995 -4,326,278	-79%	-$32.1M	1.09%	22
2017 Q1	$40M	Sell	5,506,273 -1,062,906	-16%	-$8.26M	6.77%	3
2016 Q4	$50.2M	Sell	6,569,179 -895,741	-12%	-$6.5M	10.3%	2
2016 Q3	$49.8M	Sell	7,464,920 -376,380	-5%	-$2.44M	9.99%	1
2016 Q2	$44.4M	Buy	7,841,300 +851,005	+12%	+$5.2M	10.7%	2
2016 Q1	$42.4M	Buy	6,990,295 +6,865,159	+5,486%	+$42.8M	7.93%	2
2015 Q4	$959K	Sell	125,136 -1,134,170	-90%	-$8.93M	0.2%	46
2015 Q3	$9.47M	Buy	1,259,306 +474,530	+60%	+$3.99M	2.43%	13
2015 Q2	$7M	Buy	+784,776	New	+$6.81M	2.29%	12
2015 Q1	–	Sell	-431,192	Closed	-$3.15M	–	51
2014 Q4	$3.15M	Buy	+431,192	New	+$3.27M	0.75%	18

Other funds holding SMFG

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

CIM

Cowen Investment Management New York $12M AUM 1.47% 1-Year Est. Return

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

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

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

Renaissance Technologies New York $72.6B AUM 54.88% 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

Cowen and Company New York $2.97B AUM 105.25% 1-Year Est. Return

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

Nine Masts Capital's SMFG Position: Q4 2020 in Review

Nine Masts Capital sold out of Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) (SMFG) in Q4 2020, closing a stake of 4,437,941 shares — an estimated $24.5M sold.

Nine Masts Capital first reported a position in SMFG in Q4 2014 and held it in 23 quarters. The position peaked at $50.2M in Q4 2016. 222 funds tracked by Wall St. Rank hold SMFG as of Q4 2020.

Nine Masts Capital reported no remaining Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) position as of Q4 2020 after selling out during the quarter.
Nine Masts Capital sold 4,437,941 Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) shares in Q4 2020, an estimated $24.5M.
Nine Masts Capital first reported a position in Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) in Q4 2014 and held it in 23 quarters.
Nine Masts Capital's Sumitomo Mitsui Financial Group, Inc American Depositary Shares (each representing 1.2 shares of Common Stock) position peaked at $50.2M in Q4 2016.
222 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 2020.

Based on Nine Masts Capital's 13F filing for Q4 2020, filed 16 Feb 2021.