James Cipriano - 29 Feb 2024 Form 3 Insider Report for SEI INVESTMENTS CO (SEIC)

Reporting relationship
Executive Vice President
Issuer ticker
SEIC
Reported as of
29 Feb 2024
Net transaction value
$0
Source evidence Original filing metadata and source links for verification. 3 source fields
SEC form
3
Accepted by SEC
28 Mar 2024, 10:11:36 UTC
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
/s/ James Cipriano, by Diane Gallagher, attorney in fact

Key filing fact

James Cipriano filed Form 3 for SEI INVESTMENTS CO (SEIC) on 28 Mar 2024.

Key facts

  • This page summarizes James Cipriano's Form 3 filing for SEI INVESTMENTS CO (SEIC).
  • 0 reported transactions and 13 derivative rows are listed below.
  • Accepted by SEC: 28 Mar 2024, 10:11.

Change

  • No earlier filing in this sequence is available for direct comparison.
  • Current net transaction value: $0.

Research use

  • This tells you what this filing adds before you inspect full transaction and derivative tables.
  • You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 3 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SEIC holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
17,297
Date
29 Feb 2024
Ownership
Direct
Footnotes
F1
SEIC holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
10,768
Date
29 Feb 2024
Ownership
By 401(k) Plan

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
5,000
Exercise price
$40.64
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
5,000
Exercise price
$40.64
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
6,250
Exercise price
$53.34
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
6,250
Exercise price
$53.34
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
8,750
Exercise price
$49.63
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
8,750
Exercise price
$49.63
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
15,000
Exercise price
$71.12
Footnotes
F2
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
17,000
Exercise price
$48.47
Footnotes
F3
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
20,000
Exercise price
$64.43
Footnotes
F3
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
35,000
Exercise price
$56.54
Footnotes
F4
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
45,000
Exercise price
$60.46
Footnotes
F5
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
13,500
Exercise price
$61.81
Footnotes
F6
SEIC holding Derivative

Option to Purchase Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
29 Feb 2024
Ownership
Direct
Underlying class
Common Stock
Underlying amount
25,000
Exercise price
$62.00
Footnotes
F7
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 7 footnotes

Footnote F1

Includes (i) 5,300 restricted stock units subject to vesting, received as employment compensation and (ii) 1,997 shares purchased through the issuer's Employee Stock Purchase Plan.

Footnote F2

(a) Vested as to 50% of the shares on December 31, 2021; and (b) will vest as to 100% of the shares on the year in which the Company has adjusted earnings per share or EPS of $5.50 or more.

Footnote F3

(a) Vested as to 50% of the shares on December 31, 2021; and (b) will vest as to 100% of the shares on December 31 of the year in which the Company has adjusted earnings per share or EPS of $6.00 or more.

Footnote F4

(a) Vested as to 50% of the shares on December 31, 2022; and (b) will vest as to 100% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $5.35 or more, or December 31, 2024.

Footnote F5

Vest (a) as to 50% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $5.75 or more, or December 31, 2023; and (b) as to 100% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $7.00 or more, or December 31, 2025.

Footnote F6

Vest (a) as to 50% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $5.00 or more, or December 31, 2024; and (b) as to 100% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $6.25 or more, or December 31, 2026.

Footnote F7

Vest (a) as to 50% of the shares on the later of December 31 of the year in which the Company has adjusted earnings per share or EPS of $5.25 or more, or December 31, 2025; and (b) as to 100% of the shares on December 31 of the year in which the Company has adjusted earnings per share or EPS of $7.10 or more, or December 31, 2027.

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