0001567619-18-002660.txt : 20180914 0001567619-18-002660.hdr.sgml : 20180914 20180914165208 ACCESSION NUMBER: 0001567619-18-002660 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180912 FILED AS OF DATE: 20180914 DATE AS OF CHANGE: 20180914 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENNESSY BRIAN A CENTRAL INDEX KEY: 0001165100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 181071664 MAIL ADDRESS: STREET 1: 750 GRANT AVENUE STREET 2: SUITE 100 CITY: NOVATO STATE: CA ZIP: 94945 FORMER NAME: FORMER CONFORMED NAME: HENNESSEY BRIAN A 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 doc1.xml FORM 4 X0306 4 2018-09-12 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165100 HENNESSY BRIAN A 7250 REDWOOD BLVD., SUITE 200 NOVATO CA 94945 1 0 0 0 Common Stock 2017-09-12 4 A 0 5250 0 A 296071 D Common Stock 12655 I By Spouse's IRA Includes 5,250 shares underlying restricted stock units that will vest 25% per year beginning September 12, 2019. /s/ Peter D. Fetzer, Attorney-in-Fact for Brian A. Hennessy 2018-09-14