SEI Investments : 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE

COMMISSION

OMB APPROVAL

Washington, D.C. 20549

OMB Number:

3235-

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF

0104

Estimated average burden

SECURITIES

hours per

0.5

response:

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934

or Section 30(h) of the Investment Company Act of 1940

1. Name and Address of Reporting Person

*

2. Date of Event

3. Issuer Name and Ticker or Trading Symbol

(Month/Day/Year)

SEI INVESTMENTS CO[ SEIC ]

Hicke Ryan

Requiring Statement

03/11/2020

4. Relationship of Reporting Person(s) to

5. If Amendment, Date of Original

(Last)

(First)

(Middle)

Issuer

Filed (Month/Day/Year)

ONE FREEDOM VALLEY DRIVE

(Check all applicable)

Director

10% Owner

6. Individual or Joint/Group Filing

X

Officer (give

Other (specify

(Check Applicable Line)

(Street)

title below)

below)

X

Form filed by One Reporting

Executive Vice President

Person

OAKS

PA

19456

Form filed by More than One

Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Beneficially Owned

1. Title of Security (Instr. 4)

2. Amount of Securities

3. Ownership

4. Nature of Indirect Beneficial

Beneficially Owned (Instr.

Form: Direct

Ownership (Instr. 5)

4)

(D) or Indirect

(I) (Instr. 5)

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

3. Title and Amount of Securities

4.

5.

6. Nature of

Expiration Date

Underlying Derivative Security

Conversion

Ownership

Indirect

(Month/Day/Year)

(Instr. 4)

or Exercise

Form:

Beneficial

Price of

Direct (D)

Ownership (Instr.

Amount

Derivative

or Indirect

5)

or

Security

(I) (Instr. 5)

Number

Date

Expiration

of

Exercisable

Date

Title

Shares

STOCK OPTION (RIGHT TO

STOCK OPTION

02/28/2014

12/14/2020

(RIGHT TO

15,000

23.86

D

PURCHASE)

PURCHASE)

STOCK OPTION (RIGHT TO

STOCK OPTION

12/13/2015

12/13/2021

(RIGHT TO

25,000

15.77

D

PURCHASE)

PURCHASE)

STOCK OPTION (RIGHT TO

STOCK OPTION

12/13/2016

12/11/2022

(RIGHT TO

7,500

22.45

D

PURCHASE)

PURCHASE)

Explanation of Responses:

Remarks:

The options vest upon the earlier of the Issuer's attainment of specific levels of earnings per shares or seven years from the date of the grant.

RUTH MONTGOMERY

03/13/2020

(Attorney in Fact)

** Signature of Reporting

Date

Person

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.