SEC Form 4/A · accession 0000350894-17-000071
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
Joseph P Ujobai
Officer — EXECUTIVE VICE PRESIDENT
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 5:17 pm EST
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) | Nov 9, 2017 | M | 17,500 | $32.49 | A | 30,040 | D | |
| COMMON STOCK | Nov 9, 2017 | S | 17,500 | $64.46 | D | 12,540 | D | |
| COMMON STOCKF1 | holding | — | — | — | 724 | D | ||
| COMMON STOCKF2 | holding | — | — | — | 28,652 | 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) | $32.49 | Nov 9, 2017 | M | 17,500 | A | Feb 3, 2014 | Dec 10, 2017 | STOCK OPTION (RIGHT TO PURCHASE) | 17,500 | 0 | D |
Explanation of responses
- F1Mr. Ujobai holds the 724.8 shares in the Employee Stock Purchase Plan.
- F2Mr. Ujobai holds 28,652 SEIC shares in the Company Stock Plan.