SEI director plans sale of 5,000 option shares

SEI INVESTMENTS CO (SEIC) had a notice filed for a planned sale of shares by director Carmen Romeo under Rule 144.

Rhea-AI Filing Summary

SEI INVESTMENTS CO (SEIC) had a notice filed for a planned sale of shares by director Carmen Romeo under Rule 144. The filing covers 5,000 shares of common stock, to be acquired via a stock option exercise and handled as a broker payment for cashless exercise on 09/01/2026, with Charles Schwab & Co., Inc. listed as broker. The notice identifies NASDAQ as the trading market.

Key Figures

Shares planned for sale: 5,000 shares of common stock Planned transaction date: 09/01/2026 Broker: Charles Schwab & Co., Inc. +1 more

4 metrics

Shares planned for sale 5,000 shares of common stock Covered by the Rule 144 notice for SEI INVESTMENTS CO

Planned transaction date 09/01/2026 Date for stock option exercise and broker payment for cashless exercise

Broker Charles Schwab & Co., Inc. Handling the sale and cashless exercise of 5,000 SEIC shares

Issuing company SEI INVESTMENTS CO Issuer of the 5,000 common shares referenced in the planned transaction

Key Terms

Rule 144, cashless exercise, Stock Option Exercise

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

cashless exercise financial

"Broker Payment for Cashless Exercise"

A cashless exercise is a way for an option holder to convert stock options into actual shares without paying the purchase price in cash; instead they immediately give up a portion of the newly issued shares to cover the cost and any withholding taxes. Investors care because this process increases the number of shares available and can slightly dilute existing holdings, while also signaling how insiders or employees are realizing compensation without needing cash — similar to paying for a purchase by handing over part of what you just bought.

Stock Option Exercise financial

"Stock Option Exercise | SEI INVESTMENTS CO"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What transaction is being planned for SEIC shares in this Form 144 notice?

The notice covers a planned sale of 5,000 shares of SEI INVESTMENTS CO common stock, tied to a stock option exercise and structured as a broker payment for cashless exercise on 09/01/2026 through Charles Schwab & Co., Inc.

Who is the insider involved in this SEIC Form 144 filing?

The person for whose account the securities are to be sold is Carmen Romeo, identified as a Director of SEI INVESTMENTS CO, in connection with a proposed Rule 144 sale of 5,000 shares of common stock.

How many SEIC shares are covered by this planned Rule 144 sale?

The Form 144 notice relates to 5,000 shares of SEI INVESTMENTS CO common stock. These shares are associated with a stock option exercise and will be handled through a cashless exercise arrangement with the broker.

What is the role of Charles Schwab in this SEIC transaction?

Charles Schwab & Co., Inc., located at 3000 Schwab Way, Westlake, TX 76262, is listed as the broker for the transaction involving 5,000 shares of SEI INVESTMENTS CO common stock and a cashless stock option exercise on 09/01/2026.

On what date is the SEIC stock option exercise and sale expected?

The notice specifies the date 09/01/2026 for both the stock option exercise and the related broker payment for cashless exercise covering 5,000 shares of SEI INVESTMENTS CO common stock.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Available on EDGAR 09/01/2026 - 04:30 PM EDT Accepted by SEC EDGAR 09/01/2026 - 04:29 PM EDT Learn about SEC filing dates

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	0001191727
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	SEI INVESTMENTS CO
SEC File Number	000-10200
Address of Issuer	1 FREEDOM VALLEY DRIVE OAKS PENNSYLVANIA 19456-1100
Phone	6106761000
Name of Person for Whose Account the Securities are To Be Sold	ROMEO CARMEN
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	Director

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	5000	548502.00	120019182	09/01/2026	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	09/01/2026	Stock Option Exercise	SEI INVESTMENTS CO			5000	09/01/2026	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	09/01/2026
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	CARMEN ROMEO
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)