Form 4 for SEIC SEI INVESTMENTS CO
Accepted 2023-02-22 00:00:00 ET · period of report 2022-12-05 · accession 0000929638-23-000680 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-22 | 2023-02-17+ | SEIC | BLUMENSTEIN SARAH | Dir | M - OptEx | $50.23 | +35.0K | 17.0K | New | +$1.76M |
| D | 2023-02-22 | 2022-12-05 | SEIC | BLUMENSTEIN SARAH | Dir | A - Grant | — | +766 | 6,447 | +13% | — |
| DM | 2023-02-22 | 2023-02-17+ | SEIC | BLUMENSTEIN SARAH | Dir | S - Sale+OE | $60.94 | -35.0K | 7,047 | -83% | -$2.13M |
| DM | 2023-02-22 | 2022-12-05 | SEIC | BLUMENSTEIN SARAH | Dir | A - Grant | — | +7,500 | 3,750 | New | — |
| DM | 2023-02-22 | 2023-02-17+ | SEIC | BLUMENSTEIN SARAH | Dir | M - OptEx | — | -35.0K | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-17 | M | A | 5,000 | $49.63 | 5,000 | D | — | — | |
| 2 | Common | Common Stock | 2022-12-05 | A | A | 766 | — | 6,447 | D | — | — | (F1) Restricted stock units subject to vesting. (F2) Received as compensation for Board service. |
| 3 | Common | Common Stock | 2023-02-17 | M | A | 4,454 | $40.64 | 10,901 | D | — | — | |
| 4 | Common | Common Stock | 2023-02-17 | M | A | 5,000 | $53.34 | 5,000 | D | — | — | |
| 5 | Common | Common Stock | 2023-02-17 | M | A | 5,000 | $53.34 | 5,000 | D | — | — | |
| 6 | Common | Common Stock | 2023-02-21 | S | D | 600 | $60.85 | 6,447 | D | — | — | (F5) Represents the weighted average of a range of sale prices from $60.84 to $60.87. 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. |
| 7 | Common | Common Stock | 2023-02-17 | M | A | 5,000 | $49.63 | 5,000 | D | — | — | |
| 8 | Common | Common Stock | 2023-02-17 | S | D | 24,454 | $61.25 | 6,447 | D | — | — | (F3) Represents the weighted average of a range of sale prices from $60.85 to $61.55. 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. |
| 9 | Common | Common Stock | 2023-02-21 | M | A | 546 | $40.64 | 6,993 | D | — | — | |
| 10 | Common | Common Stock | 2023-02-21 | M | A | 5,000 | $48.47 | 11,993 | D | — | — | |
| 11 | Common | Common Stock | 2023-02-21 | M | A | 5,000 | $56.54 | 16,993 | D | — | — | |
| 12 | Common | Common Stock | 2023-02-21 | S | D | 9,946 | $60.18 | 7,047 | D | — | — | (F4) Represents the weighted average of a range of sale prices from $59.84 to $60.83. 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. |
| 13 | Derivative | Option to Purchase Common Stock | 2022-12-05 | A | A | 3,750 | — | 3,750 | D | $61.81 · — to 2032-12-05 | 3,750 Common Stock | (F2) Received as compensation for Board service. (F6) 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. |
| 14 | Derivative | Option to Purchase Common Stock | 2022-12-05 | A | A | 3,750 | — | 3,750 | D | $61.81 · — to 2032-12-05 | 3,750 Common Stock | (F2) Received as compensation for Board service. (F7) 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. |
| 15 | Derivative | Option to Purchase Common Stock | 2023-02-17 | M | D | 4,454 | — | 546 | D | $40.64 · 2017-12-31 to 2024-12-09 | 4,454 Common Stock | (F2) Received as compensation for Board service. |
| 16 | Derivative | Option to Purchase Common Stock | 2023-02-17 | M | D | 5,000 | — | 0 | D | $53.34 · 2017-12-31 to 2025-12-08 | 5,000 Common Stock | (F2) Received as compensation for Board service. |
| 17 | Derivative | Option to Purchase Common Stock | 2023-02-21 | M | D | 5,000 | — | 0 | D | $56.54 · 2022-12-31 to 2030-12-08 | 5,000 Common Stock | (F2) Received as compensation for Board service. |
| 18 | Derivative | Option to Purchase Common Stock | 2023-02-17 | M | D | 5,000 | — | 0 | D | $49.63 · 2017-12-31 to 2026-12-13 | 5,000 Common Stock | (F2) Received as compensation for Board service. |
| 19 | Derivative | Option to Purchase Common Stock | 2023-02-17 | M | D | 5,000 | — | 0 | D | $49.63 · 2019-12-31 to 2026-12-13 | 5,000 Common Stock | (F2) Received as compensation for Board service. |
| 20 | Derivative | Option to Purchase Common Stock | 2023-02-21 | M | D | 546 | — | 4,454 | D | $40.64 · 2022-02-23 to 2024-12-09 | 546 Common Stock | (F2) Received as compensation for Board service. |
| 21 | Derivative | Option to Purchase Common Stock | 2023-02-21 | M | D | 5,000 | — | 0 | D | $48.47 · 2022-02-23 to 2028-12-11 | 5,000 Common Stock | (F2) Received as compensation for Board service. |
| 22 | Derivative | Option to Purchase Common Stock | 2023-02-17 | M | D | 5,000 | — | 0 | D | $53.34 · 2018-12-31 to 2025-12-08 | 5,000 Common Stock | (F2) Received as compensation for Board service. |