SEC Form 4 · accession 0001140361-15-010557
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel B Steadman
Officer — Executive Vice President · Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001145255
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Mar 3, 2015 | S | 1,200 | $23.0251 | D | 47,811 | D | |
| Common StockF2 | Mar 4, 2015 | S | 1,500 | $23.0305 | D | 46,311 | D | |
| Common StockF3 | Mar 4, 2015 | S | 5,000 | $23.0022 | D | 41,311 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person sold the shares for diversification purposes.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $23.00 to $23.15. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F3The price in Column 4 is a weighted average price. The prices actually received ranged from $23.00 to $23.25. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.