Sanjay Sharma - Jan 24, 2023 Form 3/A - Amendment Insider Report for SEI INVESTMENTS CO (SEIC)

Role
Officer
Signature
/s/ Sanjay Sharma by Diane M. Gallagher, attorney in fact
Stock symbol
SEIC
Transactions as of
Jan 24, 2023
Transactions value $
$0
Form type
3/A - Amendment
Date filed
4/5/2023, 02:04 PM
Date Of Original Report
Feb 10, 2023
Next filing
Apr 5, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SEIC Common Stock 12.9K Jan 24, 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 4.5K $33.76 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 4.5K $33.76 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 7.5K $40.64 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 7.5K $40.64 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $53.34 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $53.34 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 12.5K $49.63 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 12.5K $49.63 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $71.12 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $71.12 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $48.47 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $48.47 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $64.43 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 10K $64.43 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 17.5K $56.54 Direct
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 17.5K $56.54 Direct F2
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 11.3K $60.46 Direct F3
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 11.3K $60.46 Direct F4
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 12.5K $61.81 Direct F5
holding SEIC Option to Purchase Common Stock Jan 24, 2023 Common Stock 12.5K $61.81 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 1,270.1939 shares owned in the Issuer's Employee Stock Purchase Plan and 2,500 shares in the form of restricted stock units received as employment compensation.
F2 Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.35 or more, but not earlier than the fourth anniversary of the date of grant, in each case based upon audited financial statements of the Issuer and subject to certain adjustments.
F3 Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.75 or more, but not earlier than the second anniversary of the date of grant, in each case based upon audited financial statements of the Issuer and subject to certain adjustments.
F4 Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $7.00 or more, but not earlier than the fourth anniversary of the date of grant, in each case based upon audited financial statements of the Issuer and subject to certain adjustments.
F5 Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.00 or more, but not earlier than the second anniversary of the date of grant, in each case based upon audited financial statements of the Issuer and subject to certain adjustments.
F6 Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $6.25 or more, but not earlier than the fourth anniversary of the date of grant, in each case based upon audited financial statements of the Issuer and subject to certain adjustments.

Remarks:

Note: This Amendment No. 1 to Form 3 is being filed to correct the number of shares owned by the reporting person as of January 24, 2023. The number of shares has been increased by 9,000 shares that the reporting person had received prior to such date upon exercise of an employee stock option (which option was not listed in Table II of the original Form 3) and decreased by 1,270.1939 shares that the reporting person holds in the Issuer's Employee Stock Purchase Plan and that were inadvertently double counted in the original Form 3. In addition, Table II is corrected herein to indicate that tranches of options expiring on December 12, 2027, December 11, 2028 and December 9, 2029 that were shown in the original Form 3 as not yet vested in fact vested on December 31, 2021. *Executive Vice President and Global Head of Private Banking & Wealth Management, SEI