Home > Insider Trading > Filing (0001140361-13-014374)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1145255	Hennessy Advisors Inc	HNNA	Investment Advice (6282)	680176227

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1165097	L Thomas Seavey	7250 Redwood Blvd., Suite 200 Novato CA 94945		Yes	No	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-03-19	400	$3.55	25,525	No	4	M	Direct
Common Stock	Disposition	2013-03-19	400	$7.50	25,125	No	4	S	Direct
Common Stock	Acquisiton	2013-03-22	768	$3.55	25,893	No	4	M	Direct
Common Stock	Disposition	2013-03-22	768	$7.05	25,125	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to acquire)	Disposition	2013-03-19	400	$0.00	400	$3.55
Common Stock	Stock Option (right to acquire)	Disposition	2013-03-22	768	$0.00	768	$3.55

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
29,350	2003-08-06	2013-08-06	No	4	M	Direct
28,582	2003-08-06	2013-08-06	No	4	M	Direct

Footnotes

The Form 4 filed on March 22, 2013 reported that the entire stock option was exercised. On March 19, 2013, the reporting person actually exercised 400 shares.
The Form 4 filed on March 22, 2013 reported that the entire stock option was exercised. On March 22, 2013, the reporting person actually exercised 768 shares.
The Form 4 filed on March 22, 2013 reported that 500 shares were sold in this transaction. The reporting person actually sold 768 shares in this transaction.
The Form 4 filed on March 22, 2013 reported the sale price of $7.00 per share in this transaction. The sale price was actually $7.0547 per share in this transaction. This price is a weighted average price. The prices actually received ranged from $7.00 to $7.25. 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.