-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NZfI+0rej9DPEENVfi+BNuwQ60QHo5S/Bu6hUdK4y4ujU0BIp3+Mf4baV+demevG Yv1Zqif1iCnIYCNLANo/7g== 0001047469-98-020575.txt : 19980518 0001047469-98-020575.hdr.sgml : 19980518 ACCESSION NUMBER: 0001047469-98-020575 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980515 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SEI CORP CENTRAL INDEX KEY: 0000350894 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 231707341 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-34968 FILM NUMBER: 98623340 BUSINESS ADDRESS: STREET 1: 1 FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 BUSINESS PHONE: 6106761000 MAIL ADDRESS: STREET 1: 1 FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WEST ALFRED P JR CENTRAL INDEX KEY: 0001059374 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: SEI INVESTMENT CO STREET 2: 1 FREEDOM VALLLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 BUSINESS PHONE: 810676100 MAIL ADDRESS: STREET 1: SEI INVESTMENT CO STREET 2: 1 FREEDOM VALLEY DRIVE CITY: OAKS STATE: PA ZIP: 19456-1100 SC 13D/A 1 SC 13D/A Page 1 of 4 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* SEI INVESTMENTS COMPANY ----------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE ---------------------------- (Title of Class of Securities) 784117 10 3 ----------- (CUSIP Number) N. JEFFREY KLAUDER, ESQUIRE MORGAN, LEWIS & BOCKIUS LLP ONE LOGAN SQUARE PHILADELPHIA, PA 19103-6993 215-963-5694 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 6/8/95 ----------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP NO. 784117 10 3 AMENDMENT NO. 3 TO SCHEDULE 13D Page 2 of 4 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALFRED P. WEST, JR. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 4,302,803 SHARES SHARES ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH ------------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 4,302,803 SHARES WITH ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,302,803 SHARES - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /X/ - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 24.3% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 784117 10 3 AMENDMENT NO. 3 TO SCHEDULE 13D Page 3 of 4 Pages Reference is made to Schedule 13D previously filed under date of March 14, 1984 by Alfred P. West, Jr. relating to the common stock, $.01 par value (the "Common Stock"), of SEI Investments Company (the "Issuer"), as amended by Amendment No. 1 filed separately under date of December 30, 1991, and as amended by Amendment No. 2 filed separately under date of April 9, 1998. This Amendment No. 3 is being filed by Alfred P. West, Jr. to reflect the sale of 100,000 shares to the Company on May 4, 1998, and to include 18,000 shares underlying options held by a trust of which Mr. West is the trustee which were inadvertently not included in Amendment No. 2. Mr. West hereby amends the Schedule 13D as follows: Item 4. PURPOSE OF TRANSACTION The shares were originally purchased for the purposes of investing in the growth of the Issuer, providing capital to the Issuer and maintaining control of the Issuer. Mr. West has no plans or proposals that relate to or would result in any of the events described in subparagraphs (a) through (i) of Item 4 of Schedule 13D. Item 5. INTEREST IN SECURITIES OF THE ISSUER. Mr. West beneficially owns and has sole power to vote and dispose of 4,302,803 shares of Common Stock, constituting 24.3% of the total shares of Common Stock outstanding. This includes 18,000 shares which may be acquired by a trust of which Mr. West is the trustee upon exercise of stock options exercisable within 60 days. This does not include 4,000 shares owned by Mr. West's spouse and 816,734 shares owned by a trust for the benefit of Mr. West's children of which Mrs. West is a trustee, with respect to which shares Mr. West disclaims beneficial ownership. Page 4 of 4 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. May 14, 1998 --------------------------- (Date) /s/ Alfred P. West, Jr. --------------------------- (Signature) Alfred P. West, Jr. --------------------------- -----END PRIVACY-ENHANCED MESSAGE-----