SMBC SMFG  2011 175 Capital (Nonconsolidated) Sumitomo Mitsui Banking Corporation Millions of yen Number of shares issued Capital stock Capital reserve Changes Balances Changes Balances Changes Balances May 17, 2006*$^{1}$ ......................................... 214,194 56,327,142 ¥ — ¥ 664,986 ¥ — ¥ 665,033 September 6, 2006*$^{2}$ ................................ 173,770 56,500,912 — 664,986 — 665,033 September 29, 2006*$^{3}$ .............................. 601,757 57,102,669 — 664,986 — 665,033 October 11, 2006*$^{4}$ ................................... 153,181 57,255,850 — 664,986 — 665,033 October 31, 2006*$^{5}$ ................................... (830,000) 56,425,850 — 664,986 — 665,033 September 10, 2009*$^{6}$ .............................. 20,672,514 77,098,364 427,972 1,092,959 427,972 1,093,006 September 29, 2009*$^{7}$ .............................. 8,211,569 85,309,933 170,000 1,262,959 170,000 1,263,006 November 26, 2009*$^{8}$ ............................... 992,453 86,302,386 23,999 1,286,959 23,999 1,287,006 February 16, 2010*$^{9}$ .................................. 20,016,015 106,318,401 484,037 1,770,996 484,037 1,771,043 March 31, 2011 Number of shares issued Common stock ................................................................................................................................................... 106,248,400 Preferred stock (1st series Type 6) ..................................................................................................................... 70,001 Total .................................................................................................................................................................... 106,318,401 March 31, 2011 Number of shares Percentage of shares outstanding Sumitomo Mitsui Financial Group, Inc. .......................................................... 106,248,400 100.00% March 31, 2011 Number of shares Percentage of shares outstanding Sumitomo Mitsui Financial Group, Inc. .......................................................... 70,001 100.00% Number of Shares Issued Note: The shares above are not listed on any stock exchange. Principal Shareholders a. Common Stock b. Preferred Stock (1st series Type 6) Remarks: * $^{1}$  Conversion of 35,000 shares of preferred stock (Type 1) and 33,000 shares of preferred stock (Type 2) to 214,194 shares of common stock * $^{2}$  Conversion of 67,000 shares of preferred stock (Type 2) to 173,770 shares of common stock * $^{3}$  Conversion of 500,000 shares of preferred stock (Type 3) to 601,757 shares of common stock * $^{4}$  Conversion of 195,000 shares of preferred stock (Type 3) to 153,181 shares of common stock * $^{5}$  Cancellation of 35,000 shares of preferred stock (Type 1), 100,000 shares of preferred stock (Type 2) and 695,000 shares of preferred stock (Type 3) * $^{6}$  Allotment to third parties: Common stock: 20,672,514 shares Issue price: ¥41,405 Capitalization: ¥20,702.5 * $^{7}$  Allotment to third parties: Common stock: 8,211,569 shares Issue price: ¥41,405 Capitalization: ¥20,702.5 * $^{8}$  Allotment to third parties: Common stock: 992,453 shares Issue price: ¥48,365 Capitalization: ¥24,182.5 * $^{9}$  Allotment to third parties: Common stock: 20,016,015 shares Issue price: ¥48,365 Capitalization: ¥24,182.5 Changes in Number of Shares Issued and Capital Stock