SEC FORM
3/A
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
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/11/2023
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3. Issuer Name and Ticker or Trading Symbol
SEI INVESTMENTS CO
[ SEIC ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
See Remarks* |
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 03/11/2023
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
6,812 |
I |
By 401(k) Plan |
Common Stock |
1,171 |
I |
By Employee Stock Purchase Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Option to Purchase Common Stock |
02/28/2014 |
12/14/2020 |
Common Stock |
15,000 |
23.86 |
D |
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Option to Purchase Common Stock |
12/13/2015 |
12/13/2021 |
Common Stock |
25,000 |
15.77 |
D |
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Option to Purchase Common Stock |
12/13/2016 |
12/11/2022 |
Common Stock |
7,500 |
22.45 |
D |
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Option to Purchase Common Stock |
12/31/2013 |
04/16/2023 |
Common Stock |
12,500 |
28.28 |
D |
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Option to Purchase Common Stock |
12/31/2017 |
04/16/2023 |
Common Stock |
12,500 |
28.28 |
D |
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Option to Purchase Common Stock |
12/31/2015 |
12/10/2023 |
Common Stock |
12,500 |
33.76 |
D |
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Option to Purchase Common Stock |
12/31/2018 |
12/10/2023 |
Common Stock |
12,500 |
33.76 |
D |
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Option to Purchase Common Stock |
12/31/2017 |
12/09/2024 |
Common Stock |
10,000 |
40.64 |
D |
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Option to Purchase Common Stock |
02/23/2022 |
12/09/2024 |
Common Stock |
10,000 |
40.64 |
D |
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Option to Purchase Common Stock |
12/31/2017 |
12/08/2025 |
Common Stock |
12,000 |
53.34 |
D |
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Option to Purchase Common Stock |
12/31/2018 |
12/08/2025 |
Common Stock |
12,000 |
53.34 |
D |
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Option to Purchase Common Stock |
12/31/2017 |
12/13/2026 |
Common Stock |
17,500 |
49.63 |
D |
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Option to Purchase Common Stock |
12/31/2019 |
12/13/2026 |
Common Stock |
17,500 |
49.63 |
D |
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Option to Purchase Common Stock |
02/23/2022 |
12/12/2027 |
Common Stock |
12,500 |
71.12 |
D |
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Option to Purchase Common Stock |
12/31/2021 |
12/12/2027 |
Common Stock |
12,500 |
71.12 |
D |
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Option to Purchase Common Stock |
02/23/2022 |
12/11/2028 |
Common Stock |
17,500 |
48.47 |
D |
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Option to Purchase Common Stock |
12/31/2021 |
12/11/2028 |
Common Stock |
17,500 |
48.47 |
D |
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Option to Purchase Common Stock |
02/22/2022 |
12/09/2029 |
Common Stock |
20,000 |
64.43 |
D |
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Option to Purchase Common Stock |
12/31/2021 |
12/09/2029 |
Common Stock |
20,000 |
64.43 |
D |
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Explanation of Responses: |
Remarks: |
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/s/ Ryan Hicke by Michael N. Peterson, attorney in fact |
06/15/2023 |
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** 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, Diane Gallagher, Bridget Garvey and Venita
Knight, 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 June 14, 2023.
/s/ Ryan Hicke
RYAN HICKE