0001437749-23-025369.txt : 20230907 0001437749-23-025369.hdr.sgml : 20230907 20230907133558 ACCESSION NUMBER: 0001437749-23-025369 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230906 FILED AS OF DATE: 20230907 DATE AS OF CHANGE: 20230907 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OFFENBACH RODGER CENTRAL INDEX KEY: 0001165093 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 231241776 MAIL ADDRESS: STREET 1: 7250 REDWOOD BLVD STREET 2: SUITE 200 CITY: NOVATO STATE: CA ZIP: 94945 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 4 1 rdgdoc.xml FORM 4 X0508 4 2023-09-06 0001145255 HENNESSY ADVISORS INC HNNA 0001165093 OFFENBACH RODGER 7250 REDWOOD BLVD SUITE 200 NOVATO CA 94945 1 Advisory Committee Member 0 Common Stock 2023-09-06 4 S 0 10000 6.7236 D 105573 D Common Stock 8902 I By IRA Common Stock 6370 I By Spouse's IRA The price in Column 4 is a weighted average price. The prices actually received ranged from $6.66 to $6.77. 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 the Form 4 utilizing an average weighted price. /s/ Teresa M. Nilsen, Attorney-in-Fact for Rodger Offenbach 2023-09-07