0001140361-16-080837.txt : 20160927 0001140361-16-080837.hdr.sgml : 20160927 20160927170754 ACCESSION NUMBER: 0001140361-16-080837 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160923 FILED AS OF DATE: 20160927 DATE AS OF CHANGE: 20160927 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HENNESSY ADVISORS INC CENTRAL INDEX KEY: 0001145255 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 680176227 FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 BUSINESS PHONE: 415-899-1555 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NILSEN TERESA M CENTRAL INDEX KEY: 0001165098 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 161905122 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD. STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 4 1 doc1.xml FORM 4 X0306 4 2016-09-23 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165098 NILSEN TERESA M 7250 REDWOOD BLVD., SUITE 200 NOVATO CA 94945 1 1 0 0 EVP, CFO and Secretary Common Stock 2016-09-23 4 F 0 1409 34.94 D 98659 D Common Stock 2016-09-27 4 S 0 2000 35.2053 D 96659 D Common Stock 2024 I FBO Children Common Stock 1012 I By Spouse's IRA Represents shares withheld for payment of taxes incident to the vesting of restricted shares. The price in Column 4 is a weighted average price. The prices actually received ranged from $35.16 to $35.26. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price. /s/ Peter D. Fetzer, Attorney-in-Fact for Teresa M. Nilsen 2016-09-27