SEC Form 4 · accession 0001140361-17-035946
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Neil J Hennessy
Officer — President and CEO · Director · 10% Owner
Period of report
Sep 16, 2017
Accepted (ET)
Sep 19, 2017 · 7:17 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 | Mar 22, 2017 | G | 7,500 | $0.00 | D | 2,368,143 | D | |
| Common Stock | Sep 16, 2017 | F | 1,410 | $14.71 | D | 2,366,733 | D | |
| Common Stock | Sep 17, 2017 | F | 2,113 | $14.71 | D | 2,364,620 | D | |
| Common StockF3 | Sep 18, 2017 | A | 15,750 | $0.00 | A | 2,380,369 | D | |
| Common StockF3 | holding | — | — | — | 25,312 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Adjusted for a 3-for-2 stock split that occurred on March 6, 2017.
- F2Represents shares withheld for payment of taxes incident to the vesting of restricted shares.
- F3Includes 15,750 shares underlying restricted stock units that will vest 25% per year beginning on September 18, 2018.