Form 4 for HNNA HENNESSY ADVISORS INC

Accepted 2023-09-19 00:00:00 ET · period of report 2023-09-18 · accession 0001437749-23-026419 · 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	LIBARLE DANIEL G	Advisory Committee Member	A - Grant	$0.00	+2,800	105.7K	+3%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-09-18	A	A	2,800	$0.00	105,700	I By Trust	—	—	(F1) Includes 2,800 shares of underlying stock units that will vest 25% per year beginning on September 18, 2024. (F2) On February 14, 2023, 82,121 shares previously held directly by the reporting person were transferred into the reporting person's trust in a transaction exempt from Section 16 reporting pursuant to Rule 16a-3. At the time of the transfer, the trust already held 8,404 shares but such shares were previously reported as directly owned due to an administrative error and are now being reported as indirectly owned; there was no transaction with respect to such shares. Of the remaining 15,175 shares, (a) 1,312.50 and 3,750 shares were issued upon vesting on August 30, 2023, and September 18, 2023, respectively, pursuant to previously reported award grants and (b) 10,112.50 shares are shares of underlying stock units that have not yet vested.