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