SEC Form 4 · accession 0001140361-17-037429
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
Sep 30, 2017
Accepted (ET)
Oct 3, 2017 · 6:00 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 30, 2017 | A | 15,750 | $15.44 | A | 2,376,777 | D | |
| Common Stock | holding | — | — | — | 25,312 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 15,750 shares underlying restricted stock units that will vest 25% per year beginning on September 30, 2018.