SEC Form 4 · accession 0001140361-16-091178
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil J Hennessy
Officer — President and CEO · Director · 10% Owner
Period of report
Dec 19, 2016
Accepted (ET)
Dec 30, 2016 · 3:01 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 Stock | Dec 19, 2016 | G | 30,000 | $0.00 | D | 1,583,762 | D | |
| Common Stock | holding | — | — | — | 16,875 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.