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HENNESSY ADVISORS INC — Director's Dealing 2011
Nov 3, 2011
34314_dirs_2011-11-03_138ccd0d-cc48-40d2-b6cf-b865c4f440f6.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: 2011-11-01
Reporting Person: STEADMAN DANIEL B (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-11-01 | Common Stock | F | 1250 | $3.00 | Disposed | 25733.5 | Direct |
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 (11063) | 11063 | Direct |
Footnotes
F1: Represents shares withheld for payment of taxes incident to the vesting of restricted shares.
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