0001567619-20-017001.txt : 20200922 0001567619-20-017001.hdr.sgml : 20200922 20200922190244 ACCESSION NUMBER: 0001567619-20-017001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200918 FILED AS OF DATE: 20200922 DATE AS OF CHANGE: 20200922 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: 201190589 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 2020-09-18 0 0001145255 HENNESSY ADVISORS INC HNNA 0001165093 OFFENBACH RODGER 7250 REDWOOD BLVD., SUITE 200 NOVATO CA 94945 1 0 0 0 Common Stock 2020-09-18 4 A 0 5250 0 A 121438 D Common Stock 8902 I By IRA Common Stock 6370 I By Spouse's IRA Includes 5,250 shares underlying restricted stock units that will vest 25% per year beginning on September 18, 2021. /s/ Peter D. Fetzer, Attorney-in-Fact for Rodger Offenbach 2020-09-22