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HENNESSY ADVISORS INC — Director's Dealing 2011
Nov 3, 2011
34314_dirs_2011-11-03_a7daf23e-20a6-4859-854e-6e69a1ca6ee4.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: NILSEN TERESA M (Director, EVP, CFO and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-11-01 | Common Stock | F | 2375 | $3.0 | Disposed | 64879.5 | 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 |
Footnotes
F1: Represents shares withheld for payment of taxes incident to the vesting of restricted shares.
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