SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
McCabe Philip

(Last) (First) (Middle)
ONE FREEDOM VALLEY DRIVE

(Street)
OAKS PA 19456

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/24/2023
3. Issuer Name and Ticker or Trading Symbol
SEI INVESTMENTS CO [ SEIC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP - Head of Investment Mgr
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 3,849.1807(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock 12/31/2015 12/10/2023 Common Stock 12,500 33.76 D
Option to Purchase Common Stock 12/31/2018 12/10/2023 Common Stock 12,500 33.76 D
Option to Purchase Common Stock 12/31/2017 12/09/2024 Common Stock 10,500 40.64 D
Option to Purchase Common Stock 02/23/2022 12/09/2024 Common Stock 10,500 40.64 D
Option to Purchase Common Stock 12/31/2017 12/08/2025 Common Stock 12,000 53.34 D
Option to Purchase Common Stock 12/31/2018 12/08/2025 Common Stock 12,000 53.34 D
Option to Purchase Common Stock 12/31/2017 12/13/2026 Common Stock 15,000 49.63 D
Option to Purchase Common Stock 12/31/2019 12/13/2026 Common Stock 15,000 49.63 D
Option to Purchase Common Stock 02/23/2022 12/12/2027 Common Stock 12,500 71.12 D
Option to Purchase Common Stock (2) 12/12/2027 Common Stock 12,500 71.12 D
Option to Purchase Common Stock 02/23/2022 12/11/2028 Common Stock 17,500 48.47 D
Option to Purchase Common Stock (3) 12/11/2028 Common Stock 17,500 48.47 D
Option to Purchase Common Stock 02/22/2022 12/09/2029 Common Stock 20,000 64.43 D
Option to Purchase Common Stock (3) 12/09/2029 Common Stock 20,000 64.43 D
Option to Purchase Common Stock 12/31/2022 12/08/2030 Common Stock 37,500 56.54 D
Option to Purchase Common Stock (4) 12/08/2030 Common Stock 37,500 56.54 D
Option to Purchase Common Stock (5) 12/10/2031 Common Stock 12,500 60.46 D
Option to Purchase Common Stock (6) 12/10/2031 Common Stock 12,500 60.46 D
Option to Purchase Common Stock (7) 12/05/2032 Common Stock 15,000 61.81 D
Option to Purchase Common Stock (8) 12/05/2032 Common Stock 15,000 61.81 D
Explanation of Responses:
1. Includes 1,349.1807 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.
2. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.50 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.
3. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $6.00 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.
4. 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.
5. 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.
6. 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.
7. 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.
8. 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:
Exhibit 24 - Power of Attorney
/s/ Philip N. McCabe by Rebecca Stump, attorney in fact 02/14/2023
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
Exhibit 24


POWER OF ATTORNEY
Known all by these presents that the undersigned hereby constitutes and appoints each of Michael Peterson, Rebecca Stump and Diane Gallagher signing singly, the undersigned’s true and lawful attorney-in-fact to:
(1)            execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of SEI Investments Company (the “Company”), Forms 3, 4,and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;
(2)            do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and
(3)            take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, and in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in- fact may approve in such attorney-in-fact’s discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed on this day February 2, 2023.


/s/ Philip McCabe
Philip McCabe