HENNESSY ADVISORS INC — Director's Dealing 2018

Sep 25, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HENNESSY ADVISORS INC (HNNA)
CIK: 0001145255
Period of Report: 2018-09-21

Reporting Person: HENNESSY NEIL J (Director, CEO, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-01-31	Common Stock	G	7500	—	Disposed	2307206.5	Direct
2018-09-21	Common Stock	F	1951.5	$14.40	Disposed	2305255	Direct
2018-09-23	Common Stock	F	2789	$14.40	Disposed	2302466	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	25312	Indirect

Footnotes

F1: Adjusted for a 3-for-2 stock split that occurred on March 6, 2017.

F2: Represents shares withheld for payment of taxes incident to the vesting of restricted shares.