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