0000929638-23-001112.txt : 20230405 0000929638-23-001112.hdr.sgml : 20230405 20230405140403 ACCESSION NUMBER: 0000929638-23-001112 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230124 FILED AS OF DATE: 20230405 DATE AS OF CHANGE: 20230405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sharma Sanjay CENTRAL INDEX KEY: 0001964495 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-10200 FILM NUMBER: 23802071 MAIL ADDRESS: STREET 1: ONE FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SEI INVESTMENTS CO CENTRAL INDEX KEY: 0000350894 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 231707341 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 BUSINESS PHONE: 6106761000 MAIL ADDRESS: STREET 1: 1 FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 FORMER COMPANY: FORMER CONFORMED NAME: SEI INVESTMENT CO DATE OF NAME CHANGE: 20040806 FORMER COMPANY: FORMER CONFORMED NAME: SEI CORP DATE OF NAME CHANGE: 19920703 3/A 1 form3.xml X0206 3/A 2023-01-24 2023-02-10 0 0000350894 SEI INVESTMENTS CO SEIC 0001964495 Sharma Sanjay ONE FREEDOM VALLEY DRIVE OAKS PA 19456 true See Remarks* Common Stock 12894.992 D Option to Purchase Common Stock 33.76 2015-12-31 2023-12-10 Common Stock 4500 D Option to Purchase Common Stock 33.76 2018-12-31 2023-12-10 Common Stock 4500 D Option to Purchase Common Stock 40.64 2017-12-31 2024-12-09 Common Stock 7500 D Option to Purchase Common Stock 40.64 2022-02-23 2024-12-09 Common Stock 7500 D Option to Purchase Common Stock 53.34 2017-12-31 2025-12-08 Common Stock 10000 D Option to Purchase Common Stock 53.34 2018-12-31 2025-12-08 Common Stock 10000 D Option to Purchase Common Stock 49.63 2017-12-31 2026-12-13 Common Stock 12500 D Option to Purchase Common Stock 49.63 2019-12-31 2026-12-13 Common Stock 12500 D Option to Purchase Common Stock 71.12 2022-02-23 2027-12-12 Common Stock 10000 D Option to Purchase Common Stock 71.12 2021-12-31 2027-12-12 Common Stock 10000 D Option to Purchase Common Stock 48.47 2022-02-23 2028-12-11 Common Stock 10000 D Option to Purchase Common Stock 48.47 2021-12-31 2028-12-11 Common Stock 10000 D Option to Purchase Common Stock 64.43 2022-02-22 2029-12-09 Common Stock 10000 D Option to Purchase Common Stock 64.43 2021-12-31 2029-12-09 Common Stock 10000 D Option to Purchase Common Stock 56.54 2022-12-31 2030-12-08 Common Stock 17500 D Option to Purchase Common Stock 56.54 2030-12-08 Common Stock 17500 D Option to Purchase Common Stock 60.46 2031-12-10 Common Stock 11250 D Option to Purchase Common Stock 60.46 2031-12-10 Common Stock 11250 D Option to Purchase Common Stock 61.81 2032-12-05 Common Stock 12500 D Option to Purchase Common Stock 61.81 2032-12-05 Common Stock 12500 D 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. 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. 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. 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. 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. 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. 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 /s/ Sanjay Sharma by Diane M. Gallagher, attorney in fact 2023-04-05