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HENNESSY ADVISORS INC — Director's Dealing 2013
Mar 28, 2013
34314_dirs_2013-03-27_86d57438-48d6-4c9f-9099-1cae85690724.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: 2013-03-25
Reporting Person: STEADMAN DANIEL B (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-03-25 | Common Stock | M | 11063 | $3.55 | Disposed | 35671.5 | Direct |
| 2013-03-25 | Common Stock | F | 5611 | $7.00 | Disposed | 30060.5 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-03-25 | Stock Option (right to acquire) | $3.55 | M | 11063 | Disposed | 2013-08-06 | Common Stock (11063) | Direct |
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