Form 4 for HNNA HENNESSY ADVISORS INC
Accepted 2023-09-19 00:00:00 ET · period of report 2023-09-18 · accession 0001437749-23-026397 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2023-09-19 | 2023-09-18 | HNNA | HENNESSY NEIL J | CEO, Dir, 10% | A - Grant | $0.00 | +19.7K | 2.07M | +1.0% | $0 |
| I | 2023-09-19 | 2023-09-18 | HNNA | HENNESSY NEIL J | CEO, Dir, 10% | F - Tax | $6.79 | -5,856 | 2.06M | -0.3% | -$39.8K |
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-09-18 | A | A | 19,700 | $0.00 | 2,070,672.50 | I By Trust | — | — | (F1) Includes 19,700 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024. (F2) Includes 2,050,972.50 shares previously reported as directly owned due to an administrative error that are now being reported as indirectly owned. There was no transaction. |
| 2 | Common | Common Stock | 2023-09-18 | F | D | 5,856.50 | $6.79 | 2,064,816 | I By Trust | — | — |