SEC Form 4 · accession 0001140361-16-080651
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 21, 2016
Accepted (ET)
Sep 23, 2016 · 5:42 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 21, 2016 | A | 10,500 | $0.00 | A | 44,374 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 10,500 shares underlying restricted stock units that will vest 25% per year beginning on September 21, 2017.