0000897069-23-000484.txt : 20230523 0000897069-23-000484.hdr.sgml : 20230523 20230523111909 ACCESSION NUMBER: 0000897069-23-000484 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230519 FILED AS OF DATE: 20230523 DATE AS OF CHANGE: 20230523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENNESSY NEIL J CENTRAL INDEX KEY: 0001165099 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 23947128 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY ADVISORS INC CENTRAL INDEX KEY: 0001145255 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 680176227 FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 BUSINESS PHONE: 415-899-1555 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 4 1 form4.xml X0407 4 2023-05-19 0001145255 HENNESSY ADVISORS INC HNNA 0001165099 HENNESSY NEIL J 7250 REDWOOD BLVD. SUITE 200 NOVATO CA 94945 true true true CEO false Common Stock 2023-05-19 4 P 0 5200 6.9481 A 2031985 D Common Stock 2023-05-22 4 P 0 6800 6.8676 A 2038785 D Common Stock 25312 I By spouse The price in Column 4 is a weighted average price. The prices actually received ranged from $6.90 to $6.95. 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 purchased at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price. The price in Column 4 is a weighted average price. The prices actually received ranged from $6.80 to $6.95. 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 purchased at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price. /s/ Peter D. Fetzer, Attorney-in-Fact for Neil J. Hennessy 2023-05-23