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