HENNESSY ADVISORS INC — Director's Dealing 2013

Sep 18, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HENNESSY ADVISORS INC (HNNA)
CIK: 0001145255
Period of Report: 2013-09-16

Reporting Person: OFFENBACH RODGER (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-09-16	Common Stock	A	5000	—	Acquired	58958	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5935	Indirect
Common Stock	4247	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

Footnotes

F1: Includes 5,000 shares underlying restricted stock units that will vest 25% per year beginning on September 16, 2014.