0001140361-16-080637.txt : 20160923 0001140361-16-080637.hdr.sgml : 20160923 20160923173334 ACCESSION NUMBER: 0001140361-16-080637 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160921 FILED AS OF DATE: 20160923 DATE AS OF CHANGE: 20160923 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: 161900636 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 2016-09-21 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165100 HENNESSY BRIAN A 7250 REDWOOD BOULEVARD, SUITE 200 NOVATO CA 94945 1 0 0 0 Common Stock 2016-09-21 4 A 0 3500 0 A 192881 D Common Stock 8437 I By Spouse's IRA Includes 3,500 shares underlying restricted stock units that will vest 25% per year beginning on September 21, 2017. /s/ Peter D. Fetzer, Attorney-in-Fact for Brian A. Hennessy 2016-09-23