SEC Form 4 · accession 0001140361-17-036358
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, 2017
Accepted (ET)
Sep 25, 2017 · 4:50 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 Stock | Sep 21, 2017 | F | 1,480 | $15.49 | D | 54,823 | D | |
| Common Stock | Sep 23, 2017 | F | 2,113 | $14.97 | D | 52,710 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld for payment of taxes incident to the vesting of restricted shares.