Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No. 13)*
SEI
INVESTMENTS COMPANY
(Name of
Issuer)
Common
Stock, $.01 par value
(Title of
Class of Securities)
784117
10 3
(CUSIP
Number)
December
31, 2009
(Date of
Event which Requires filing of this Statement)
Check the
appropriate box to designate the rule pursuant to which this Schedule is
filed:
|
[
]
|
Rule
13d-1(b)
|
|
[x]
|
Rule
13d-1(c)
|
|
[
]
|
Rule
13d-1(d)
|
* The
remainder of this cover page shall be filled out for a reporting person’s
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The
information required in the remainder of this cover page shall not be deemed to
be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934
(“Act”) or otherwise subject to the liabilities of that section of the Act but
shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP
No. 784117 10 3
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Thomas W. Smith
|
|||
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
[ ]
(b) [x]
|
|||
|
3
|
SEC
USE ONLY
|
|||
|
4
|
CITIZEN
OR PLACE OF ORGANIZATION
United States
|
|||
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
300,000
|
||
|
6
|
SHARED
VOTING POWER
2,646,356
|
|||
|
7
|
SOLE
DISPOSITIVE POWER
300,000
|
|||
|
8
|
SHARED
DISPOSITIVE POWER
2,646,356
|
|||
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,946,356
|
|||
|
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
|
|||
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.5%
|
|||
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|||
-2-
CUSIP
No. 784117 10 3
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Scott J. Vassalluzzo
|
|||
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
[ ]
(b) [x]
|
|||
|
3
|
SEC
USE ONLY
|
|||
|
4
|
CITIZEN
OR PLACE OF ORGANIZATION
United States
|
|||
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
0
|
||
|
6
|
SHARED
VOTING POWER
2,646,356
|
|||
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|||
|
8
|
SHARED
DISPOSITIVE POWER
2,646,356
|
|||
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,646,356
|
|||
|
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
|
|||
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.4%
|
|||
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|||
-3-
CUSIP
No. 784117 10 3
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Steven M. Fischer
|
|||
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
[ ]
(b) [x]
|
|||
|
3
|
SEC
USE ONLY
|
|||
|
4
|
CITIZEN
OR PLACE OF ORGANIZATION
United States
|
|||
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
0
|
||
|
6
|
SHARED
VOTING POWER
2,646,356
|
|||
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|||
|
8
|
SHARED
DISPOSITIVE POWER
2,646,356
|
|||
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,646,356
|
|||
|
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
Not Applicable
|
|||
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.4%
|
|||
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|||
-4-
|
ITEM
1.
|
(a)
|
Name
of Issuer:
|
SEI
Investments Company
|
|
(b)
|
Address
of Issuer's Principal Executive
Offices:
|
1 Freedom
Valley Drive
Oaks,
PA 19456-1100
|
|
(a)
|
Name
of Person Filing:
|
|
|
(i)
|
Thomas
W. Smith
|
|
|
(ii)
|
Scott
J. Vassalluzzo
|
|
|
(iii)
|
Steven
M. Fischer
|
The
filing of this Statement shall not be deemed to be an admission that the filing
persons (the “Reporting Persons”)
comprise a “group” within the meaning of Section 13(d)(3) of the Securities
Exchange Act of 1934, as amended. The Reporting Persons each disclaim
beneficial ownership of the shares reported in this Schedule 13G in excess of
those shares as to which they have or share voting or investment
authority.
|
|
(b)
|
Address
of Principal Business Office:
|
The
following is the address of the principal business office of each of the
Reporting Persons:
323
Railroad Avenue
Greenwich,
CT 06830
|
|
(c)
|
Citizenship:
|
Each of
Thomas W. Smith, Scott J. Vassalluzzo and Steven M. Fischer is a United States
citizen.
|
|
(d)
|
Title
of Class of Securities:
|
Common
Stock, par value $.01 per share.
|
|
(e)
|
CUSIP
Number:
|
784117 10
3
-5-
|
ITEM
3.
|
If
this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c),
check whether the person filing is
a:
|
Not
applicable.
If
this Statement is filed pursuant to Rule 13d-1(c), check this box
[x]
|
ITEM
4.
|
Ownership
|
|
|
(a)
|
Thomas
W. Smith – 2,946,356 shares; Scott J. Vassalluzzo – 2,646,356 shares;
Steven M. Fischer – 2,646,356
shares
|
|
|
(b)
|
Thomas
W. Smith – 1.5%; Scott J. Vassalluzzo – 1.4%; Steven M. Fischer –
1.4%
|
|
|
(c)
|
Mr.
Thomas W. Smith has the sole power to vote or to direct the vote of
300,000 shares and the sole power to dispose or to direct the disposition
of 300,000 shares. Messrs. Scott J. Vassalluzzo and Steven M.
Fischer have the sole power to vote or dispose or to direct the vote or
the disposition of no shares. Messrs. Smith, Vassalluzzo and
Mr. Fischer each have the shared power to vote or direct the vote of, or
dispose or direct the disposition of 2,646,356
shares.
|
|
ITEM
5.
|
Ownership
of Five Percent or Less of a Class
|
If this
statement is being filed to report the fact that as of the date hereof the
reporting person has ceased to be the beneficial owner of more than 5 percent of
the class of securities, check the following [ X ].
|
ITEM
6.
|
Ownership
of More than Five Percent on Behalf of Another
Person
|
Not
applicable.
|
ITEM
7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being
Reported on By the Parent Holding
Company
|
Not
applicable.
|
ITEM
8.
|
Identification
and Classification of Members of the
Group
|
Not
applicable.
|
ITEM
9.
|
Notice
of Dissolution of Group
|
Not
applicable.
-6-
|
ITEM
10.
|
Certification
|
By
signing below, I certify that, to the best of my knowledge and belief, the
securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
-7-
Signature
After
reasonable inquiry and to the best of my knowledge and belief, I certify that
the information set forth in this statement is true, complete and
correct.
Date:
February 16, 2010
/s/ Thomas
W.
Smith
Thomas W. Smith
/s/ Scott
J.
Vassalluzzo
Scott J.
Vassalluzzo
/s/ Steven
M.
Fischer
Steven M.
Fischer
-8-
JOINT
FILING AGREEMENT
The
undersigned agree that the foregoing Amendment No. 13 to the Statement on
Schedule 13G, dated February 16, 2010, is being filed with the Securities and
Exchange Commission on behalf of each of the undersigned pursuant to Rule
13d-1(k)
Date:
February 16, 2010
/s/ Thomas
W.
Smith
Thomas W. Smith
/s/ Scott
J.
Vassalluzzo
Scott J.
Vassalluzzo
/s/ Steven
M.
Fischer
Steven M.
Fischer
-9-