SEC Form 4 · accession 0001567619-18-003064
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Seavey
Director
Period of report
Sep 20, 2018
Accepted (ET)
Sep 24, 2018 · 5:27 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 | Sep 20, 2018 | S | 500 | $15.0192 | D | 59,979 | D | |
| Common StockF2 | Sep 21, 2018 | S | 400 | $15.0065 | D | 59,579 | D | |
| Common StockF3 | Sep 24, 2018 | S | 600 | $14.7717 | D | 58,979 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $15.0008 to $15.05. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $14.93 to $15.0829. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
- F3The price in Column 4 is a weighted average price. The prices actually received ranged from $14.515 to $14.95. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.