SEC Form 4 · accession 0001567619-18-002649
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil J Hennessy
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Sep 12, 2018
Accepted (ET)
Sep 14, 2018 · 4:43 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 12, 2018 | A | 15,750 | $0.00 | A | 2,317,477 | 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 12, 2019.