Ryan Hicke - Dec 31, 2022 Form 5 Insider Report for SEI INVESTMENTS CO (SEIC)

Role
Officer, Director
Signature
/s/ Ryan Hicke, by Michael N. Peterson, attorney in fact
Stock symbol
SEIC
Transactions as of
Dec 31, 2022
Transactions value $
$2,950,232
Form type
5
Date filed
6/15/2023, 04:05 PM
Previous filing
Dec 14, 2021
Next filing
Jun 15, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SEIC Common Stock Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities $263K +1.36K +19.99% $193.41 8.17K Jul 29, 2020 By 401(k) plan
transaction SEIC Common Stock Options Exercise $239K +10K +45.39% $23.86 32K Sep 2, 2020 Direct
transaction SEIC Common Stock Award $2.52M +40K +124.88% $62.95 72K Mar 31, 2022 Direct F1, F2
transaction SEIC Common Stock Options Exercise $168K +7.5K +10.41% $22.45 79.5K Aug 2, 2022 Direct
transaction SEIC Common Stock Options Exercise $354K +12.5K +15.72% $28.28 92K Dec 1, 2022 Direct
transaction SEIC Common Stock Sale -$592K -9.4K -10.21% $62.95 82.6K Dec 1, 2022 Direct F3
holding SEIC Common Stock 1.17K Dec 31, 2022 By ESPP

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
transaction SEIC Option to Purchase Common Stock Options Exercise -10K -100% 0 Sep 2, 2020 Common Stock 10K $23.86 Direct F2
transaction SEIC Option to Purchase Common Stock Options Exercise -7.5K -100% 0 Aug 2, 2022 Common Stock 7.5K $22.45 Direct F2
transaction SEIC Option to Purchase Common Stock Options Exercise -12.5K -100% 0 Dec 1, 2022 Common Stock 12.5K $28.28 Direct F2
transaction SEIC Option to Purchase Common Stock Award +50K 0 Dec 5, 2022 Common Stock 50K $61.81 Direct F2, F4
transaction SEIC Option to Purchase Common Stock Award +50K 0 Dec 5, 2022 Common Stock 50K $61.81 Direct F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted stock units subject to vesting.
F2 Received as employment compensation.
F3 Represents the weighted average of a range of sale prices from $62.81 to $63.11. The reporting person undertakes to provide to the Staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.
F4 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.
F5 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.