SEI Investments (SEIC) Form 144 Notifies Proposed 35K-Share Sale

Rhea-AI Filing Summary

Form 144 filing shows a proposed sale of 35,000 shares to be executed on 08/19/2025 through Charles Schwab & Co., Inc. The aggregate market value is stated as $3,090,362 with 123,625,060 shares outstanding, and the sale is to occur on NASDAQ. The securities were acquired on 08/19/2025 via an employee stock option exercise from SEI INVESTMENTS CO, and the payment method is listed as a broker payment for a cashless exercise. No securities were reported sold in the prior three months and the filer attests there is no undisclosed material adverse information.

Positive

• Timely disclosure of the proposed sale with broker, amount, market value, and sale date
• Clear acquisition method specified as an employee stock option exercise and cashless broker payment
• No securities sold in prior three months, simplifying aggregation under Rule 144

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider sale via cashless exercise; size is small relative to total shares outstanding and thus likely non-material to valuation.

The filing documents a proposed disposition of 35,000 shares valued at $3,090,362 to be sold on 08/19/2025 through Charles Schwab on NASDAQ. Acquisition and intended sale occur on the same date via an employee option exercise with a broker-facilitated cashless settlement. Given the outstanding share count of 123,625,060, this block represents a de minimis percentage of the float. There are no reported insider sales in the prior three months and the filer certifies absence of undisclosed material adverse information. Overall, procedural and disclosure controls appear to be followed.

Corporate Governance Expert

TL;DR: Filing meets Rule 144 notification requirements; delivery mechanism and certification are standard for option-derived sales.

The document includes required Rule 144 information: broker name and address, class of security, aggregate value, outstanding shares, and the acquisition and sale dates. The note that payment was a broker payment for a cashless exercise is relevant for understanding proceeds and dilution mechanics. The signature/representation language affirms the filer is not withholding material adverse facts. No indications of unusual governance or compliance issues are present in the text provided.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	35000	3090362.00	123625060	08/19/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/19/2025	Employee Stock Option Exercise	SEI INVESTMENTS CO			35000	08/19/2025	Broker Payment for Cashless Exercise

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What did the SEIC Form 144 report?

The filing reports a proposed sale of 35,000 common shares with an aggregate market value of $3,090,362, to be sold on 08/19/2025 via Charles Schwab on NASDAQ.

How were the shares acquired according to the filing?

The shares were acquired on 08/19/2025 through an employee stock option exercise, with payment described as a broker payment for a cashless exercise.

Does the filing report any other sales in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months by the person for whose account these securities are to be sold.

Who is the broker handling the sale?

The broker listed is Charles Schwab & Co., Inc. with the address provided in the filing.

What representation does the filer make about undisclosed information?

The filer represents by signing the notice that they do not know of any material adverse information about the issuer that has not been publicly disclosed.