SC 13G/A: Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
Published on February 14, 2002
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
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)
December 31, 2001
(Date of Event which Requires filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[x] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* 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 the disclosures provided in a prior cover page.
The information required in 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
________________________________________________________________________________
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas W. Smith
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 CITIZEN OR PLACE OF ORGANIZATION
United States
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 2,377,355
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 7,130,714
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 2,377,355
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 7,130,714
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,508,069
________________________________________________________________________________
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
________________________________________________________________________________
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.8%
________________________________________________________________________________
12 TYPE OF REPORTING PERSON
IN
________________________________________________________________________________
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CUSIP No. 784117 10 3
________________________________________________________________________________
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Thomas N. Tryforos
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 CITIZEN OR PLACE OF ORGANIZATION
United States
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 7,130,714
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 7,130,714
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,130,714
________________________________________________________________________________
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
________________________________________________________________________________
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
________________________________________________________________________________
12 TYPE OF REPORTING PERSON
IN
________________________________________________________________________________
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ITEM 1.
(a) Name of Issuer:
SEI Investments Company
(b) Address of Issuer's Principal Executive Offices:
1 Freedom Valley Drive
Oaks, PA 19456
ITEM 2.
(a) Name of Person Filing:
(i) Thomas W. Smith
(ii) Thomas N. Tryforos
The filing of this Statement shall not be deemed to be an admission
that the filing persons comprise a "group" within the meaning of
Section 13(d)(3) of the Securities Exchange Act of 1934, as amended.
(b) Address of Principal Business Office:
The following is the address of the principal business office of each
of the filing persons:
323 Railroad Avenue
Greenwich, CT 06830
(c) Citizenship:
Each of Messrs. Thomas W. Smith and Thomas N. Tryforos is a United
States citizen.
(d) Title of Class of Securities:
Common Stock, par value $.01 per share.
(e) CUSIP Number:
784117 10 3
ITEM 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or
(c), check whether the person filing is a:
Not applicable.
If this Statement is filed pursuant to Rule 13d-1(c),
check this box [x]
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ITEM 4. Ownership
(a) Thomas W. Smith - 9,508,069 shares; Thomas N. Tryforos - 7,130,714
shares
(b) Thomas W. Smith - 8.8%; Thomas N. Tryforos - 6.6%
(c) Each of Thomas W. Smith and Thomas N. Tryforos has shared power to
vote or to direct the vote and shared power to dispose or to direct
the disposition of 7,130,714 shares; Thomas W. Smith has sole power to
vote and dispose of 2,377,355 shares, and Thomas N. Tryforos has sole
power to vote and dispose of no shares.
ITEM 5. Ownership of Five Percent or Less of a Class
Not applicable.
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person
Messrs. Smith and Tryforos in the aggregate beneficially own 8,108,069
shares in their capacities as investment managers for certain managed
accounts. The managed accounts have the right to receive dividends
from, and the proceeds from the sale of, the managed accounts' shares.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company
Not applicable.
ITEM 8. Identification and Classification of Members of the Group
Not applicable.
ITEM 9. Notice of Dissolution of Group
Not applicable.
ITEM 10. Certification
By signing below, I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
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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.
Date: February 14, 2001
/s/ Thomas W. Smith
-----------------------------------
Thomas W. Smith
/s/ Thomas N. Tryforos
-----------------------------------
Thomas N. Tryforos
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JOINT FILING AGREEMENT
The undersigned agree that the foregoing Statement on Schedule 13G, dated
February 14, 2002, is being filed with the Securities and Exchange Commission on
behalf of each of the undersigned pursuant to Rule 13d-1(k)
Dated: February 14, 2002
/s/ Thomas W. Smith
-----------------------------------
Thomas W. Smith
/s/ Thomas N. Tryforos
-----------------------------------
Thomas N. Tryforos
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