SEC Form 4 · accession 0001140361-17-035963
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Hennessy
Director
Period of report
Sep 18, 2017
Accepted (ET)
Sep 19, 2017 · 7:27 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,F2 | Sep 18, 2017 | A | 5,250 | $0.00 | A | 290,821 | D | |
| Common StockF2 | holding | — | — | — | 12,655 | I | By Spouse's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 5,250 shares underlying restricted stock units that will vest 25% per year beginning on September 18, 2018.
- F2Adjusted for a 3-for-2 stock split that occurred on March 6, 2017.