0001140361-16-076776.txt : 20160815 0001140361-16-076776.hdr.sgml : 20160815 20160815184118 ACCESSION NUMBER: 0001140361-16-076776 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160811 FILED AS OF DATE: 20160815 DATE AS OF CHANGE: 20160815 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: HENNESSY BRIAN A CENTRAL INDEX KEY: 0001165100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 161834314 MAIL ADDRESS: STREET 1: 750 GRANT AVENUE STREET 2: SUITE 100 CITY: NOVATO STATE: CA ZIP: 94945 FORMER NAME: FORMER CONFORMED NAME: HENNESSEY BRIAN A DATE OF NAME CHANGE: 20020114 4 1 doc1.xml FORM 4 X0306 4 2016-08-11 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165100 HENNESSY BRIAN A 7250 REDWOOD BOULEVARD, SUITE 200 NOVATO CA 94945 1 0 0 0 Common Stock 2016-08-11 4 S 0 591 37.9681 D 194690 D Common Stock 2016-08-11 4 S 0 5 39.00 D 194685 D Common Stock 2016-08-12 4 S 0 937 38.0033 D 193748 D Common Stock 2016-08-15 4 S 0 2207 37.8321 D 191541 D Common Stock 8437 I By Spouse's IRA The price in Column 4 is a weighted average price. The prices actually received ranged from $37.791 to $38.25. 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 a weighted average price. The price in Column 4 is a weighted average price. The prices actually received ranged from $37.75 to $38.21. 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 a weighted average price. The price in Column 4 is a weighted average price. The prices actually received ranged from $37.511 to $38.00. 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 a weighted average price. /s/ Peter D. Fetzer, Attorney-in-Fact for Brian A. Hennessy 2016-08-15