SEC Form 4 · accession 0001140361-16-076776
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Hennessy
Director
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 6:41 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 | Aug 11, 2016 | S | 591 | $37.9681 | D | 194,690 | D | |
| Common Stock | Aug 11, 2016 | S | 5 | $39.00 | D | 194,685 | D | |
| Common StockF2 | Aug 12, 2016 | S | 937 | $38.0033 | D | 193,748 | D | |
| Common StockF3 | Aug 15, 2016 | S | 2,207 | $37.8321 | D | 191,541 | D | |
| Common Stock | holding | — | — | — | 8,437 | I | By Spouse's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $37.791 to $38.25. 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.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $37.75 to $38.21. 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 $37.511 to $38.00. 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.