Welcome to our dedicated page for Hennessy Advisor SEC filings (Ticker: HNNA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Hennessy Advisors, Inc. (HNNA) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a publicly traded investment manager in the finance and insurance sector, Hennessy Advisors uses SEC reports to present information on its financial condition, operations, and capital structure.
Investors can review current reports on Form 8-K, where the company discloses material events such as quarterly earnings announcements and dividend declarations. For example, recent 8-K filings describe financial results for specific fiscal quarters, including revenue, net income, earnings per share, and assets under management, as well as the declaration of cash dividends on its common stock. These filings also reference the company’s 4.875% Notes due 2026, which trade under the symbol HNNAZ on The Nasdaq Stock Market LLC.
Through Stock Titan, users can track Hennessy Advisors’ periodic filings, including annual and quarterly reports when available, to analyze trends in assets under management, advisory and shareholder service revenues, and overall profitability. The platform’s AI-powered tools summarize key points from lengthy filings, helping readers interpret financial disclosures and understand the implications of reported results and corporate actions.
In addition, the filings page offers a way to monitor governance and capital-related disclosures, along with any future updates the company may provide about its mutual funds, ETFs, and debt securities. Real-time access to new EDGAR submissions, combined with AI-generated highlights, allows investors to quickly see how Hennessy Advisors reports its performance and material events in its official SEC documents.
Kiera M. Newton, a director of Hennessy Advisors Inc (HNNA), reported an acquisition of 5,600 shares of Common Stock on 09/18/2025 increasing her beneficial ownership to 17,258 shares. The filing shows the 5,600 shares are stock units that will vest 25% per year beginning on September 18, 2026, indicating a four-year vesting schedule. The reported transaction was recorded on Form 4 and executed through an attorney-in-fact.
Daniel G. Libarle, an officer of Hennessy Advisors Inc. (ticker shown as HNNA), was granted 2,800 common stock units on 09/18/2025. The units were reported at a price of $0 and are held indirectly by a trust; following the grant he beneficially owns 63,810 shares indirectly. The filing states the 2,800 units will vest 25% per year beginning September 18, 2026, indicating a four-year vesting schedule. The Form 4 was signed by an attorney-in-fact on 09/19/2025. The transaction appears to be a routine officer equity award documented under Section 16 disclosures.
Rodger D. Offenbach filed a Form 4 reporting changes in his beneficial ownership of Hennessy Advisors Inc. On 09/18/2025 he is shown as acquiring 2,800 shares of Common Stock at a reported price of $0, bringing his total beneficial ownership to 113,298 shares, held indirectly by a trust. The filing notes the 2,800 shares are underlying stock units that will vest 25% per year beginning September 18, 2026. The form also shows a reported disposition entry of 9,577 shares with an explanatory note that 675 shares previously reported as indirect are now reported as direct due to an administrative correction and that there was no transaction for those 675 shares. The form is signed by an attorney-in-fact on 09/19/2025.
Daniel B. Steadman, Executive Vice President and officer of Hennessy Advisors, Inc. (HNNA), reported an 08/27/2025 sale of 2,000 shares of the company’s common stock for $0 per share (coded as a sale under Form 4). After that transaction he beneficially owned 31,432 shares directly. The filing also reports an indirect ownership of 1,750 shares held by a child. The Form 4 was signed by an attorney-in-fact.
Thomas L. Seavey, a director of Hennessy Advisors, Inc. (HNNA), reported two open-market sales of company common stock on August 14 and August 15, 2025. The Form 4 shows sales of 2,698 shares on 08/14/2025 at a weighted average price of $10.7036 and 2,603 shares on 08/15/2025 at a weighted average price of $10.6331. After the reported transactions, Mr. Seavey beneficially owned 50,424 shares directly. The Form 4 was signed by Teresa M. Nilsen as attorney-in-fact on 08/18/2025. The filing notes the reported prices are weighted averages with price ranges disclosed for each sale.
Insider sale notice for Hennessy Advisors, Inc. (HNNA): This Form 144 shows a proposed sale of 2,603 common shares through Wells Fargo Clearing with an aggregate market value of $27,661.36, to be sold approximately on 08/15/2025 on NASDAQ. The filing states these shares were acquired on 08/06/2003 as RSUs and stock options and that payment was not applicable. The filer, Thomas Seavey, also reported recent open-market sales over the prior three days totaling 17,397 shares for gross proceeds of $187,191.52 (sales on 08/12/2025, 08/13/2025 and 08/14/2025). The notice includes the standard certification that the seller is not aware of undisclosed material adverse information.
Insider sales by Thomas L. Seavey at Hennessy Advisors (HNNA)
The Form 4 shows that Thomas L. Seavey, a director, reported two open-market sales of Hennessy Advisors common stock. On 08/12/2025 he sold 7,000 shares at a weighted-average price of $10.8516, leaving him with 63,429 shares beneficially owned. On 08/13/2025 he sold 7,704 shares at a weighted-average price of $10.7076, leaving him with 55,725 shares beneficially owned. The form was signed by Teresa M. Nilsen as attorney-in-fact on 08/14/2025. The filing includes explanations that the reported prices are weighted averages and gives the actual price ranges for each transaction.
Form 144 notice for Hennessy Advisors, Inc. (HNNA) shows a proposed sale of 2,693 common shares through Wells Fargo Clearing Services on 08/14/2025. The shares were acquired on 08/06/2003 as restricted stock units and stock options and have an aggregate market value listed as $28,807.76. The filing reports total shares outstanding of 7,787,560. The filer represents there is no undisclosed material adverse information and includes past sale activity by Thomas Seavey of 7,000 shares on 08/12/2025 for $75,928.26 and 7,704 shares on 08/13/2025 for $82,455.50.
Hennessy Advisors filed a Form 144 disclosing a proposed sale of 7,704 common shares with an aggregate market value of $82,455.50, to be sold on NASDAQ approximately on 08/13/2025 through Wells Fargo Clearing Services. The filing lists 7,787,560 shares outstanding, indicating the notice covers a small fraction of the company’s outstanding common stock.
The securities were acquired on 08/06/2003 as RSUs and options and the filing notes a recent sale of 7,000 shares on 08/12/2025 for gross proceeds of $75,928.26 by Thomas L. Seavey. The filer certifies there is no undisclosed material adverse information about the issuer.
The filing notifies a proposed sale of 7,000 common shares of Hennessy Advisors (HNNA) through Wells Fargo Clearing Services, with an aggregate market value of $75,928.26. The sale is scheduled approximately on 08/12/2025 and the securities are listed on Nasdaq. The form reports 7,787,560 shares outstanding for the issuer.
The shares were acquired on 08/06/2003 as restricted stock units and stock options from the issuer and payment was in cash. The filer indicates no securities sold in the past three months. Several filer identification and contact fields in the provided form appear blank or omitted, and the form includes the standard representation that the seller does not possess undisclosed material adverse information.