0001437749-23-026403.txt : 20230919 0001437749-23-026403.hdr.sgml : 20230919 20230919185222 ACCESSION NUMBER: 0001437749-23-026403 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: Fahy Kathryn CENTRAL INDEX KEY: 0001729765 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 231265014 MAIL ADDRESS: STREET 1: 7250 REDWOOD BOULEVARD, 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 0001729765 Fahy Kathryn 7250 REDWOOD BLVD SUITE 200 NOVATO CA 94945 1 SVP and CFO 0 Common Stock 2023-09-18 4 A 0 12500 0 A 78070.93 D Common Stock 2023-09-18 4 F 0 2588 6.79 D 75482.93 D Includes 12,500 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024. /s/ Kathryn R. Fahy 2023-09-19