SEC Form 4 · accession 0001567619-18-003101
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn Fahy
Officer — SVP and CFO
Period of report
Sep 12, 2018
Accepted (ET)
Sep 25, 2018 · 5:53 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 17, 2018 | F | 505 | $14.61 | D | 26,025 | D | |
| Common Stock | Sep 18, 2018 | F | 350 | $15.00 | D | 25,675 | D | |
| Common Stock | Sep 21, 2018 | G | 1,000 | $0.00 | D | 24,675 | D | |
| Common Stock | Sep 21, 2018 | F | 362 | $14.40 | D | 24,313 | D | |
| Common StockF2 | Sep 12, 2018 | A | 2,350 | $0.00 | A | 14,938 | I | By Spouse |
| Common Stock | Sep 17, 2018 | F | 306 | $14.61 | D | 14,632 | I | By Spouse |
| Common Stock | Sep 18, 2018 | F | 235 | $15.00 | D | 14,398 | I | By Spouse |
| Common Stock | Sep 21, 2018 | F | 209 | $14.40 | D | 14,189 | I | By Spouse |
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.
- F2Includes 2,350 shares underlying restricted stock units that will vest 25% per year beginning on September 12, 2019.