SEI director sells 5,000 shares after option exercise
SEIC director Carmen Romeo exercised 5,000 stock options and sold the resulting 5,000 shares on September 1, 2026.
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Form Type
4
Rhea-AI Filing Summary
SEI INVESTMENTS CO (SEIC) director Carmen Romeo reported an option exercise and same‑day share sale. On September 1, 2026, Romeo exercised options to acquire 5,000 shares of common stock at $49.63 per share as compensation for Board service, then sold 5,000 shares at a weighted‑average price in the $109.68–$109.70 range. The reported option grant tied to this transaction was fully exercised, and no Rule 10b5‑1 trading plan is indicated.
Insider Trade Summary
Exercise and Sale: 5,000 shares ($300K approx. pre-tax spread)
Exercise and Sale
3 txns
Insider
ROMEO CARMEN
Role
Director
Sold
5,000 shs ($549K)
Approx. gross sale proceeds
$549K
Approx. exercise cost
$248K
Approx. pre-tax spread
$300K
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Option to Purchase Common Stock F2 | 5,000 | -- | -- |
| Exercise | Common Stock | 5,000 | $49.63 | $248K |
| Sale | Common Stock F1 | 5,000 | $109.70 | $549K |
Holdings After Transaction:
Option to Purchase Common Stock — 0 contracts (Direct);
Common Stock — 1,560,293 shares (Direct)
Footnotes (2)
- F1. Represents the weighted average of a range of sale prices from $109.68 to $109.70. 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.
- F2. Received as compensation for service on the Company's Board of Directors.
Key Figures
Options Exercised: 5,000 shares
Option Exercise Price: $49.63 per share
Shares Sold: 5,000 shares
+2 more
5 metrics
Options Exercised
5,000 shares
Options to purchase SEIC common stock exercised on September 1, 2026
Option Exercise Price
$49.63 per share
Exercise price for options exercised into 5,000 SEIC shares
Shares Sold
5,000 shares
SEIC common stock sold on September 1, 2026
Sale Price Range (Weighted Average Basis)
$109.68–$109.70 per share
Price range for weighted‑average sale of 5,000 SEIC shares
Option Expiration Date
December 13, 2026
Expiration date of the option that was exercised for 5,000 shares
Key Terms
weighted average, derivative security, Rule 10b5-1
3 terms
weighted average financial
"Represents the weighted average of a range of sale prices from $109.68 to $109.70"
A weighted average is a way of calculating an overall number when some items matter more than others by giving each item a different level of importance, or weight. Investors use weighted averages to combine figures like prices, returns or earnings so the result reflects the size or significance of each part — like grading a class where a final exam counts more than a quiz, producing a score that better represents true performance.
derivative security financial
"Exercise or conversion of derivative security"
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
Rule 10b5-1 regulatory
"The Rule 10b5-1 checkbox is not marked for these transactions"
Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What transactions did SEIC director Carmen Romeo report on this Form 4?
Romeo reported exercising options for 5,000 shares of SEIC common stock at $49.63 per share on September 1, 2026, then selling 5,000 shares of common stock the same day at a weighted‑average price between $109.68 and $109.70.
What was the option exercise price in the SEIC Form 4 for Carmen Romeo?
The reported option exercise involved 5,000 shares of SEI Investments (SEIC) common stock at an exercise price of $49.63 per share, from an option originally exercisable since December 31, 2019 and expiring December 13, 2026.
Was Carmen Romeo’s SEIC trade under a Rule 10b5-1 trading plan?
No. The Form 4 indicates the Rule 10b5‑1 checkbox is not marked for these transactions, so no Rule 10b5‑1 trading plan is reported in connection with the September 1, 2026 option exercise and share sale.
AI-generated analysis. How Rhea-AI works. Not financial advice.
