0001437749-23-026405.txt : 20230919
0001437749-23-026405.hdr.sgml : 20230919
20230919185425
ACCESSION NUMBER: 0001437749-23-026405
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: OFFENBACH RODGER
CENTRAL INDEX KEY: 0001165093
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36423
FILM NUMBER: 231265017
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
0001165093
OFFENBACH RODGER
7250 REDWOOD BLVD
SUITE 200
NOVATO
CA
94945
1
Advisory Committee Member
0
Common Stock
2023-09-18
4
A
0
2800
0
A
108373
I
By Trust
Common Stock
8902
D
Common Stock
6370
I
By Spouse's IRA
Includes 2,800 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024.
Includes 105,573 shares previously reported as directly owned due to an administrative error that are now being reported as indirectly owned. There was no transaction.
The shares previously reported as indirectly owned By IRA are now being reported as directly owned by the reporting person. There was no transaction.
/s/ Teresa M. Nilsen, Attorney-in-Fact for Rodger D. Offenbach
2023-09-19