Sec Form 3/A Filing - Sharma Sanjay @ SEI INVESTMENTS CO - 2023-01-24

Insider filing report for Changes in Beneficial Ownership
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FORM 3/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Sharma Sanjay
2. Issuer Name and Ticker or Trading Symbol
SEI INVESTMENTS CO [ SEIC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
See Remarks*
(Last) (First) (Middle)
ONE FREEDOM VALLEY DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
01/24/2023
(Street)
OAKS, PA19456
4. If Amendment, Date Original Filed (MM/DD/YY)
02/10/2023
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12,894.992 ( 1 ) D
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock $ 33.76 12/31/2015 12/10/2023 Common Stock 4,500 D
Option to Purchase Common Stock $ 33.76 12/31/2018 12/10/2023 Common Stock 4,500 D
Option to Purchase Common Stock $ 40.64 12/31/2017 12/09/2024 Common Stock 7,500 D
Option to Purchase Common Stock $ 40.64 02/23/2022 12/09/2024 Common Stock 7,500 D
Option to Purchase Common Stock $ 53.34 12/31/2017 12/08/2025 Common Stock 10,000 D
Option to Purchase Common Stock $ 53.34 12/31/2018 12/08/2025 Common Stock 10,000 D
Option to Purchase Common Stock $ 49.63 12/31/2017 12/13/2026 Common Stock 12,500 D
Option to Purchase Common Stock $ 49.63 12/31/2019 12/13/2026 Common Stock 12,500 D
Option to Purchase Common Stock $ 71.12 02/23/2022 12/12/2027 Common Stock 10,000 D
Option to Purchase Common Stock $ 71.12 12/31/2021 12/12/2027 Common Stock 10,000 D
Option to Purchase Common Stock $ 48.47 02/23/2022 12/11/2028 Common Stock 10,000 D
Option to Purchase Common Stock $ 48.47 12/31/2021 12/11/2028 Common Stock 10,000 D
Option to Purchase Common Stock $ 64.43 02/22/2022 12/09/2029 Common Stock 10,000 D
Option to Purchase Common Stock $ 64.43 12/31/2021 12/09/2029 Common Stock 10,000 D
Option to Purchase Common Stock $ 56.54 12/31/2022 12/08/2030 Common Stock 17,500 D
Option to Purchase Common Stock $ 56.54 ( 2 ) 12/08/2030 Common Stock 17,500 D
Option to Purchase Common Stock $ 60.46 ( 3 ) 12/10/2031 Common Stock 11,250 D
Option to Purchase Common Stock $ 60.46 ( 4 ) 12/10/2031 Common Stock 11,250 D
Option to Purchase Common Stock $ 61.81 ( 5 ) 12/05/2032 Common Stock 12,500 D
Option to Purchase Common Stock $ 61.81 ( 6 ) 12/05/2032 Common Stock 12,500 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Sharma Sanjay
ONE FREEDOM VALLEY DRIVE
OAKS, PA19456
See Remarks*
Signatures
/s/ Sanjay Sharma by Diane M. Gallagher, attorney in fact 04/05/2023
Signature of Reporting Person Date
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 $5.35 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.
( 3 )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.
( 4 )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.
( 5 )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.
( 6 )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:
Note: This Amendment No. 1 to Form 3 is being filed to correct the number of shares owned by the reporting person as of January 24, 2023. The number of shares has been increased by 9,000 shares that the reporting person had received prior to such date upon exercise of an employee stock option (which option was not listed in Table II of the original Form 3) and decreased by 1,270.1939 shares that the reporting person holds in the Issuer's Employee Stock Purchase Plan and that were inadvertently double counted in the original Form 3. In addition, Table II is corrected herein to indicate that tranches of options expiring on December 12, 2027, December 11, 2028 and December 9, 2029 that were shown in the original Form 3 as not yet vested in fact vested on December 31, 2021.*Executive Vice President and Global Head of Private Banking & Wealth Management, SEI

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).

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