Brian A. Hennessy - 10 Aug 2021 Form 4 Insider Report for HENNESSY ADVISORS INC (HNNA)

Role
Director
Signature
/s/ Teresa M. Nilsen, Attorney-in-Fact for Brian A. Hennessy
Issuer symbol
HNNA
Transactions as of
10 Aug 2021
Net transactions value
+$39,247
Form type
4
Filing time
12 Dec 2023, 18:52:10 UTC
Previous filing
29 Jun 2021
Next filing
20 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HNNA Common Stock Purchase $24,932 +2,500 +17% $9.97 17,563 10 Aug 2021 By Spouse's IRA F1, F2
transaction HNNA Common Stock Purchase $14,315 +1,400 +8% $10.23 18,963 11 Aug 2021 By Spouse's IRA F3
holding HNNA Common Stock 249,764 10 Aug 2021 By Trust F4
holding HNNA Common Stock 18,963 10 Aug 2021 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price in Column 4 is a weighted average price. The prices actually received ranged from $9.895 to $10.00. 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.
F2 Includes 2,407.641 shares acquired through automatic dividend reinvestments.
F3 The price in Column 4 is a weighted average price. The prices actually received ranged from $10.15 to $10.299. 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.
F4 Excludes 16,555 shares previously reported as owned by trust due to an administrative error that are now being reported as directly owned. There was no transaction. Also excludes 1.5 shares due to previous rounding errors.
F5 Includes 16,555 shares previously reported as owned by trust due to an administrative error that are now being reported as directly owned. There was no transaction. Also includes 2,407.641 shares acquired through automatic dividend reinvestments.