<SEC-DOCUMENT>0001140361-13-036319.txt : 20130918 <SEC-HEADER>0001140361-13-036319.hdr.sgml : 20130918 <ACCEPTANCE-DATETIME>20130918174259 ACCESSION NUMBER: 0001140361-13-036319 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130916 FILED AS OF DATE: 20130918 DATE AS OF CHANGE: 20130918 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SEAVEY THOMAS L CENTRAL INDEX KEY: 0001165097 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49872 FILM NUMBER: 131104277 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 </SEC-HEADER> <DOCUMENT> <TYPE>4 <SEQUENCE>1 <FILENAME>doc1.xml <DESCRIPTION>FORM 4 <TEXT> <XML> <?xml version="1.0"?> <ownershipDocument> <schemaVersion>X0306</schemaVersion> <documentType>4</documentType> <periodOfReport>2013-09-16</periodOfReport> <notSubjectToSection16>0</notSubjectToSection16> <issuer> <issuerCik>0001145255</issuerCik> <issuerName>HENNESSY ADVISORS INC</issuerName> <issuerTradingSymbol>HNNA</issuerTradingSymbol> </issuer> <reportingOwner> <reportingOwnerId> <rptOwnerCik>0001165097</rptOwnerCik> <rptOwnerName>SEAVEY THOMAS L</rptOwnerName> </reportingOwnerId> <reportingOwnerAddress> <rptOwnerStreet1>7250 REDWOOD BOULEVARD, SUITE 200</rptOwnerStreet1> <rptOwnerStreet2></rptOwnerStreet2> <rptOwnerCity>NOVATO</rptOwnerCity> <rptOwnerState>CA</rptOwnerState> <rptOwnerZipCode>94945</rptOwnerZipCode> <rptOwnerStateDescription></rptOwnerStateDescription> </reportingOwnerAddress> <reportingOwnerRelationship> <isDirector>1</isDirector> <isOfficer>0</isOfficer> <isTenPercentOwner>0</isTenPercentOwner> <isOther>0</isOther> <officerTitle></officerTitle> <otherText></otherText> </reportingOwnerRelationship> </reportingOwner> <nonDerivativeTable> <nonDerivativeTransaction> <securityTitle> <value>Common Stock</value> </securityTitle> <transactionDate> <value>2013-09-16</value> </transactionDate> <deemedExecutionDate></deemedExecutionDate> <transactionCoding> <transactionFormType>4</transactionFormType> <transactionCode>A</transactionCode> <equitySwapInvolved>0</equitySwapInvolved> </transactionCoding> <transactionAmounts> <transactionShares> <value>5000</value> <footnoteId id="F1"/> </transactionShares> <transactionPricePerShare> <value>0</value> </transactionPricePerShare> <transactionAcquiredDisposedCode> <value>A</value> </transactionAcquiredDisposedCode> </transactionAmounts> <postTransactionAmounts> <sharesOwnedFollowingTransaction> <value>44211</value> <footnoteId id="F1"/> </sharesOwnedFollowingTransaction> </postTransactionAmounts> <ownershipNature> <directOrIndirectOwnership> <value>D</value> </directOrIndirectOwnership> </ownershipNature> </nonDerivativeTransaction> </nonDerivativeTable> <derivativeTable> <derivativeHolding> <securityTitle> <value>Stock Option (right to acquire)</value> </securityTitle> <conversionOrExercisePrice> <value>7.11</value> </conversionOrExercisePrice> <exerciseDate> <value>2004-11-03</value> </exerciseDate> <expirationDate> <value>2014-11-03</value> </expirationDate> <underlyingSecurity> <underlyingSecurityTitle> <value>Common Stock</value> </underlyingSecurityTitle> <underlyingSecurityShares> <value>25313</value> </underlyingSecurityShares> </underlyingSecurity> <postTransactionAmounts> <sharesOwnedFollowingTransaction> <value>25313</value> </sharesOwnedFollowingTransaction> </postTransactionAmounts> <ownershipNature> <directOrIndirectOwnership> <value>D</value> </directOrIndirectOwnership> </ownershipNature> </derivativeHolding> </derivativeTable> <footnotes> <footnote id="F1">Includes 5,000 shares underlying restricted stock units that will vest 25% per year beginning on September 16, 2014.</footnote> </footnotes> <remarks></remarks> <ownerSignature> <signatureName>/s/ Peter D. Fetzer, Attorney-in-Fact for Thomas L. Seavey</signatureName> <signatureDate>2013-09-18</signatureDate> </ownerSignature> </ownershipDocument> </XML> </TEXT> </DOCUMENT> </SEC-DOCUMENT>