SEC Form 4/A · accession 0000350894-15-000044
SEI INVESTMENTS CO · SEIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Wayne Withrow
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Aug 5, 2015
Accepted (ET)
Aug 12, 2015 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000350894
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO PURCHASE) | Aug 5, 2015 | M | 5,400 | $19.28 | A | 38,979 | D | |
| COMMON STOCK | Aug 5, 2015 | S | 5,400 | $54.76 | D | 33,579 | D | |
| STOCK OPTION (RIGHT TO PURCHASE) | Aug 10, 2015 | M | 4,600 | $19.28 | A | 38,179 | D | |
| COMMON STOCK | Aug 10, 2015 | S | 4,600 | $55.23 | D | 33,579 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO PURCHASE)F1 | $19.28 | Aug 5, 2015 | M | 5,400 | A | Dec 31, 2007 | Dec 14, 2015 | COMMON STOCK | 5,400 | 4,600 | D |
| STOCK OPTION (RIGHT TO PURCHASE) | $19.28 | Aug 10, 2015 | M | 4,600 | A | Dec 31, 2007 | Dec 14, 2015 | STOCK OPTION (RIGHT TO PURCHASE) | 4,600 | 0 | D |
Explanation of responses
- F1THIS TRANSACTION WAS ORIGINALLY FILED AS A STRAIGHT SALE OF 5,4000 SHARES. MR. WITHROW EXERCISED 5,400 SHARES OUT OF HIS 12/14/2005 GRANT AND THEN SOLD THE SHARES.