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HENNESSY ADVISORS INC — Director's Dealing 2014
May 16, 2014
34314_dirs_2014-05-15_76d828c9-eda8-4759-9ce4-611f47ee94ac.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: 2014-05-13
Reporting Person: HENNESSY NEIL J (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-13 | Common Stock | M | 25313 | $7.11 | Acquired | 1877793 | Direct |
| 2014-05-13 | Common Stock | F | 14399 | $12.5 | Disposed | 1863394 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-05-13 | Stock Option (right to acquire) | $7.11 | M | 25313 | Disposed | 2014-11-03 | Common Stock (25313) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7500 | Indirect |
| Common Stock | 16875 | Indirect |
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