Filing Details
- Accession Number:
- 0001140361-14-022151
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-19 16:28:56
- Reporting Period:
- 2014-05-15
- Filing Date:
- 2014-05-19
- Accepted Time:
- 2014-05-19 16:28:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1145255 | Hennessy Advisors Inc | HNNA | Investment Advice (6282) | 680176227 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1165097 | L Thomas Seavey | 7250 Redwood Boulevard, Suite 200 Novato CA 94945 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-05-15 | 14,411 | $7.11 | 44,211 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-05-16 | 8,500 | $7.11 | 52,711 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-16 | 8,500 | $12.25 | 44,211 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-05-19 | 2,402 | $7.11 | 46,613 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-19 | 2,402 | $12.40 | 44,211 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to acquire) | Disposition | 2014-05-15 | 14,411 | $0.00 | 14,411 | $7.11 |
| Common Stock | Stock Option (right to acquire) | Disposition | 2014-05-16 | 8,500 | $0.00 | 8,500 | $7.11 |
| Common Stock | Stock Option (right to acquire) | Disposition | 2014-05-19 | 2,402 | $0.00 | 2,402 | $7.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,902 | 2004-11-03 | 2014-11-03 | No | 4 | M | Direct |
| 2,402 | 2004-11-03 | 2014-11-03 | No | 4 | M | Direct |
| 0 | 2004-11-03 | 2014-11-03 | No | 4 | M | Direct |
Billionaire Hedge Funds
