0001567619-22-017643.txt : 20220920 0001567619-22-017643.hdr.sgml : 20220920 20220920192527 ACCESSION NUMBER: 0001567619-22-017643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220918 FILED AS OF DATE: 20220920 DATE AS OF CHANGE: 20220920 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: 221254790 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 2022-09-18 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 2022-09-18 4 A 0 7500 0 A 48992 D Common Stock 2022-09-18 4 F 0 1296 9.00 D 47696 D Common Stock 1000 I By Child Includes 7,500 shares underlying restricted stock units that will vest 25% per year beginning on September 18, 2023. /s/ Peter D. Fetzer, Attorney-in-Fact for Daniel B. Steadman 2022-09-20