SEC Form 4 · accession 0001140361-16-080400
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
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 3:51 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 19, 2016 | S | 1,564 | $35.3399 | D | 36,160 | D | |
| Common StockF2 | Sep 20, 2016 | S | 2,286 | $35.1776 | D | 33,874 | D |
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 $35.3014 to $35.424. 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 an average weighted price.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $34.5384 to $35.46. 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 an average weighted price.