0001140361-17-045913.txt : 20171212 0001140361-17-045913.hdr.sgml : 20171212 20171212171945 ACCESSION NUMBER: 0001140361-17-045913 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171208 FILED AS OF DATE: 20171212 DATE AS OF CHANGE: 20171212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEADMAN DANIEL B CENTRAL INDEX KEY: 0001165096 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36423 FILM NUMBER: 171252471 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 doc1.xml FORM 4 X0306 4 2017-12-08 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165096 STEADMAN DANIEL B 7250 REDWOOD BLVD., SUITE 200 NOVATO CA 94945 1 1 0 0 Executive Vice President Common Stock 2017-12-08 4 S 0 10000 16.8986 D 58459.5 D The price in Column 4 is a weighted average price. The prices actually received ranged from $16.60 to $17.10. 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 Daniel B. Steadman 2017-12-12