0001437749-23-026419.txt : 20230919
0001437749-23-026419.hdr.sgml : 20230919
20230919191215
ACCESSION NUMBER: 0001437749-23-026419
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: LIBARLE DANIEL G
CENTRAL INDEX KEY: 0001165094
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36423
FILM NUMBER: 231265051
MAIL ADDRESS:
STREET 1: 7250 REDWOOD BLVD
STREET 2: SUITE 200
CITY: NOVATO
STATE: CA
ZIP: 94945
FORMER NAME:
FORMER CONFORMED NAME: LIBARIE DANIEL G
DATE OF NAME CHANGE: 20020114
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
0001165094
LIBARLE DANIEL G
7250 REDWOOD BLVD
SUITE 200
NOVATO
CA
94945
1
Advisory Committee Member
0
Common Stock
2023-09-18
4
A
0
2800
0
A
105700
I
By Trust
Includes 2,800 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024.
On February 14, 2023, 82,121 shares previously held directly by the reporting person were transferred into the reporting person's trust in a transaction exempt from Section 16 reporting pursuant to Rule 16a-3. At the time of the transfer, the trust already held 8,404 shares but such shares were previously reported as directly owned due to an administrative error and are now being reported as indirectly owned; there was no transaction with respect to such shares. Of the remaining 15,175 shares, (a) 1,312.50 and 3,750 shares were issued upon vesting on August 30, 2023, and September 18, 2023, respectively, pursuant to previously reported award grants and (b) 10,112.50 shares are shares of underlying stock units that have not yet vested.
/s/ Teresa M. Nilsen, Attorney-in-Fact for Daniel G. Libarle
2023-09-19