Neil J. Hennessy - 18 Sep 2023 Form 4 Insider Report for HENNESSY ADVISORS INC (HNNA)

Role
CEO, Director, 10%+ Owner
Signature
/s/ Teresa M. Nilsen, Attorney-in-Fact for Neil J. Hennessy
Issuer symbol
HNNA
Transactions as of
18 Sep 2023
Transactions value $
-$39,766
Form type
4
Date filed
19 Sep 2023, 19:46
Previous filing
01 Sep 2023
Next filing
13 Dec 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HNNA Common Stock Award $0 +19.7K +0.96% $0.00 2.07M 18 Sep 2023 By Trust F1, F2
transaction HNNA Common Stock Tax liability -$39.8K -5.86K -0.28% $6.79 2.06M 18 Sep 2023 By Trust
holding HNNA Common Stock 25.1K 18 Sep 2023 By Spouse's IRA F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 19,700 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024.
F2 Includes 2,050,972.50 shares previously reported as directly owned due to an administrative error that are now being reported as indirectly owned. There was no transaction.
F3 Reduced by 253 shares from previously reported amount to correct an administrative error. There was no transaction.