SEC Form 4 · accession 0001140361-15-035458
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Teresa M Nilsen
Officer — EVP, CFO and Secretary · Director
Period of report
Sep 16, 2015
Accepted (ET)
Sep 18, 2015 · 4:19 pm EDT
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 StockF1 | Sep 16, 2015 | F | 1,401 | $24.80 | D | 102,291 | D | |
| Common StockF2 | Sep 17, 2015 | A | 15,000 | $0.00 | A | 117,291 | D | |
| Common Stock | holding | — | — | — | 1,124 | I | FBO Children | |
| Common Stock | holding | — | — | — | 1,012 | I | By Spouse's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld for payment of taxes incident to the vesting of restricted shares.
- F2Includes 15,000 shares underlying restricted stock units that will vest 25% per year beginning on September 17, 2016.