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HENNESSY ADVISORS INC — Director's Dealing 2014
Feb 13, 2014
34314_dirs_2014-02-13_8314ccda-8aed-4798-97da-2e6744ba9d22.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: 2014-02-11
Reporting Person: HENNESSY NEIL J (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-11 | Common Stock | G | 20000 | — | Disposed | 1852480 | Direct |
| 2014-02-11 | Common Stock | G | 4000 | — | Acquired | 7500 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16875 | 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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