SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Form 3 Holdings Reported.
X
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
Hicke Ryan

(Last) (First) (Middle)
1 FREEDOM VALLEY DRIVE

(Street)
OAKS PA 19456

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SEI INVESTMENTS CO [ SEIC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks*
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2022
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Common Stock 07/29/2020 I4 1,362 A $193.41 8,174 I By 401(k) plan
Common Stock 09/02/2020 M4 10,000 A $23.86 32,031 D
Common Stock 03/31/2022 A4 40,000(1) A $62.95(2) 72,031 D
Common Stock 08/02/2022 M4 7,500 A $22.45 79,531 D
Common Stock 12/01/2022 M4 12,500 A $28.28 92,031 D
Common Stock 12/01/2022 S4 9,399 D $62.95(3) 82,632 D
Common Stock 1,171 I By ESPP
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock $23.86 09/02/2020 M 10,000 02/28/2014 12/14/2020 Common Stock 10,000 (2) 0 D
Option to Purchase Common Stock $22.45 08/02/2022 M 7,500 12/31/2017 12/11/2022 Common Stock 7,500 (2) 0 D
Option to Purchase Common Stock $28.28 12/01/2022 M 12,500 12/31/2017 04/16/2023 Common Stock 12,500 (2) 0 D
Option to Purchase Common Stock $61.81 12/05/2022 A 50,000 (4) 12/05/2032 Common Stock 50,000 (2) 0 D
Option to Purchase Common Stock $61.81 12/05/2022 A 50,000 (5) 12/05/2032 Common Stock 50,000 (2) 0 D
Explanation of Responses:
1. Restricted stock units subject to vesting.
2. Received as employment compensation.
3. 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.
4. 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.
5. 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.
/s/ Ryan Hicke, by Michael N. Peterson, attorney in fact 06/15/2023
** 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 4 (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.