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HENNESSY ADVISORS INC — Director's Dealing 2013
Dec 21, 2013
34314_dirs_2013-12-20_ef1057e7-aaf3-4c98-832e-7d7e572d53c6.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: 2013-12-19
Reporting Person: HENNESSY NEIL J (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-20 | Common Stock | W | 22625 | — | Acquired | 1872480 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16875 | Indirect |
| Common Stock | 3500 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to acquire) | $7.11 | 2014-11-03 | Common Stock (25313) | 25313 | Direct |
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