0001567619-21-017403.txt : 20210921 0001567619-21-017403.hdr.sgml : 20210921 20210921174056 ACCESSION NUMBER: 0001567619-21-017403 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210918 FILED AS OF DATE: 20210921 DATE AS OF CHANGE: 20210921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENNESSY NEIL J CENTRAL INDEX KEY: 0001165099 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 211267336 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 doc1.xml FORM 4 X0306 4 2021-09-18 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165099 HENNESSY NEIL J 7250 REDWOOD BLVD., SUITE 200 NOVATO CA 94945 1 1 1 0 CEO Common Stock 2021-09-18 4 F 0 1951.5 10.00 D 2073292.5 D Common Stock 25312 I By spouse Represents shares withheld for payment of taxes incident to the vesting of restricted shares. /s/ Peter D. Fetzer, Attorney-in-Fact for Neil J. Hennessy 2021-09-21