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HENNESSY ADVISORS INC — Director's Dealing 2009
Dec 23, 2009
34314_dirs_2009-12-23_591f2d77-031f-44b0-a031-e0a6d6f396eb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HENNESSY ADVISORS INC (HNNA)
CIK: 0001145255
Period of Report: 2009-12-06
Reporting Person: NILSEN TERESA M (Director, EVP, CFO and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-12-06 | Common Stock | F | 375 | $2.66 | Disposed | 68462 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1012 | Indirect |
| Common Stock | 674 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to acquire) | $2.97 | 2012-02-28 | Common Stock (25313) | 25313 | Direct |
| Stock Option (right to acquire) | $3.55 | 2013-08-06 | Common Stock (25313) | 25313 | Direct |
| Stock Option (right to acquire) | $7.11 | 2014-11-03 | Common Stock (2813) | 2813 | Direct |
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