Form: 3

Initial statement of beneficial ownership of securities

February 10, 2023

Documents

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Sharma Sanjay
(Last) (First) (Middle)
ONE FREEDOM VALLEY DRIVE
(Street)
OAKS PA 19456
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/24/2023 		3. Issuer Name and Ticker or Trading Symbol
SEI INVESTMENTS CO [ SEIC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP (*Remarks)
 5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 5,165.186(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock 12/31/2015 12/10/2023 Common Stock 4,500 33.76 D
Option to Purchase Common Stock 12/31/2018 12/10/2023 Common Stock 4,500 33.76 D
Option to Purchase Common Stock 12/31/2017 12/09/2024 Common Stock 7,500 40.64 D
Option to Purchase Common Stock 02/23/2022 12/09/2024 Common Stock 7,500 40.64 D
Option to Purchase Common Stock 12/31/2017 12/08/2025 Common Stock 10,000 53.34 D
Option to Purchase Common Stock 12/31/2018 12/08/2025 Common Stock 10,000 53.34 D
Option to Purchase Common Stock 12/31/2017 12/13/2026 Common Stock 12,500 49.63 D
Option to Purchase Common Stock 12/31/2019 12/13/2026 Common Stock 12,500 49.63 D
Option to Purchase Common Stock 02/23/2022 12/12/2027 Common Stock 10,000 71.12 D
Option to Purchase Common Stock (2) 12/12/2027 Common Stock 10,000 71.12 D
Option to Purchase Common Stock 02/23/2022 12/11/2028 Common Stock 10,000 48.47 D
Option to Purchase Common Stock (3) 12/11/2028 Common Stock 10,000 48.47 D
Option to Purchase Common Stock 02/22/2022 12/09/2029 Common Stock 10,000 64.43 D
Option to Purchase Common Stock (3) 12/09/2029 Common Stock 10,000 64.43 D
Option to Purchase Common Stock 12/31/2022 12/08/2030 Common Stock 17,500 56.54 D
Option to Purchase Common Stock (4) 12/08/2030 Common Stock 17,500 56.54 D
Option to Purchase Common Stock (5) 12/10/2031 Common Stock 11,250 60.46 D
Option to Purchase Common Stock (6) 12/10/2031 Common Stock 11,250 60.46 D
Option to Purchase Common Stock (7) 12/05/2032 Common Stock 12,500 61.81 D
Option to Purchase Common Stock (8) 12/05/2032 Common Stock 12,500 61.81 D
Explanation of Responses:
1. Includes 1,270.1939 shares owned in the Issuer's Employee Stock Purchase Plan and 2,500 shares in the form of restricted stock units received as employment compensation.
2. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.50 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.
3. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $6.00 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.
4. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.35 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.
5. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $5.75 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.
6. Vest on December 31 of the year in which the Issuer attains an adjusted pre-tax earnings per share of $7.00 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.
7. 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.
8. 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.
Remarks:
Exhibit 24 - Power of Attorney *Executive Vice President and Global Head of Private Banking & Wealth Management, SEI
/s/ Sanjay Sharma by Rebecca Stump, attorney in fact 02/10/2023
** 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 5 (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.