SEC Form 4 · accession 0001567619-18-003103
HENNESSY ADVISORS INC · HNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil J Hennessy
Officer — CEO · Director · 10% Owner
Period of report
Sep 21, 2018
Accepted (ET)
Sep 25, 2018 · 5:55 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 | Jan 31, 2012 | G | 7,500 | $0.00 | D | 2,307,207 | D | |
| Common Stock | Sep 21, 2018 | F | 1,952 | $14.40 | D | 2,305,255 | D | |
| Common Stock | Sep 23, 2018 | F | 2,789 | $14.40 | D | 2,302,466 | D | |
| Common Stock | holding | — | — | — | 25,312 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Adjusted for a 3-for-2 stock split that occurred on March 6, 2017.
- F2Represents shares withheld for payment of taxes incident to the vesting of restricted shares.