0001437749-23-026399.txt : 20230919 0001437749-23-026399.hdr.sgml : 20230919 20230919184809 ACCESSION NUMBER: 0001437749-23-026399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230918 FILED AS OF DATE: 20230919 DATE AS OF CHANGE: 20230919 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEADMAN DANIEL B CENTRAL INDEX KEY: 0001165096 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 231265008 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 rdgdoc.xml FORM 4 X0508 4 2023-09-18 0001145255 HENNESSY ADVISORS INC HNNA 0001165096 STEADMAN DANIEL B 7250 REDWOOD BLVD SUITE 200 NOVATO CA 94945 1 1 Executive VP Advisory Committee Member 0 Common Stock 2023-09-18 4 A 0 9400 0 A 53465 D Common Stock 2023-09-18 4 F 0 1937 6.79 D 51528 D Common Stock 1250 I By Child Includes 9,400 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024. /s/ Daniel B. Steadman 2023-09-19