Blumenstein Sarah's Form 4 filing
SEI Investments Co (SEIC) · filed Feb 22, 2023
- Accession no.
- 0000929638-23-000680
- Filed
- Feb 22, 2023
- Trade date
- Dec 5, 2022-Feb 21, 2023
- Filing delay
- 79 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 10 derivative transactions. Open-market sales total $2.13M. It was filed 79 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Blumenstein SarahCIK 0001191716 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 5, 2022 | Common Stock | AGrant or awardAcquired | +766 | –F2 | – | 6,447 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +4,454 | $40.64 | +$181,010.56 | 10,901 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $53.34 | +$266,700 | 5,000 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $53.34 | +$266,700 | 5,000 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $49.63 | +$248,150 | 5,000 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $49.63 | +$248,150 | 5,000 | Direct | |
| Feb 17, 2023 | Common Stock | SSaleDisposed | −24,454 | $61.25F3 | −$1,497,807.5 | 6,447 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseAcquired | +546 | $40.64 | +$22,189.44 | 6,993 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $48.47 | +$242,350 | 11,993 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseAcquired | +5,000 | $56.54 | +$282,700 | 16,993 | Direct | |
| Feb 21, 2023 | Common Stock | SSaleDisposed | −9,946 | $60.18F4 | −$598,550.28 | 7,047 | Direct | |
| Feb 21, 2023 | Common Stock | SSaleDisposed | −600 | $60.85F5 | −$36,510 | 6,447 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 5, 2022 | Common Stock | AGrant or awardAcquired | +3,750 | –F2 | – | 3,750 | Direct | |
| Dec 5, 2022 | Common Stock | AGrant or awardAcquired | +3,750 | –F2 | – | 3,750 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −4,454 | –F2 | – | 546 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseDisposed | −546 | –F2 | – | 4,454 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct | |
| Feb 21, 2023 | Common Stock | MOption exerciseDisposed | −5,000 | –F2 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Received as compensation for Board service.
Referenced by the price of 1 transaction in Table I and 10 transactions in Table II.
- F3
Represents the weighted average of a range of sale prices from $60.85 to $61.55. The reporting person undertakes to provide to the Staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average of a range of sale prices from $59.84 to $60.83. The reporting person undertakes to provide to the Staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average of a range of sale prices from $60.84 to $60.87. The reporting person undertakes to provide to the Staff of the Securities and Exchange Commission, the Company or any stockholder of the Company, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.