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.
Hennessy Advisors, Inc. filings document material-event reporting for an investment management company whose business centers on advisory and shareholder services for the Hennessy Funds. Recent 8-K disclosures cover operating and financial results, Regulation FD announcements, cash dividends on common stock, and exhibits containing related press releases.
The company's regulatory filings also record shareholder voting matters and governance actions, including annual meeting results, director elections, advisory compensation votes, and vote-frequency recommendations. Capital-structure disclosures include common stock dividend reporting and the listed 4.875% Notes due 2026.
Hansel Henry, a director of Hennessy Advisors Inc. (HNNA), reported acquiring 5,600 shares of Common Stock on 09/18/2025. The Form 4 shows the shares were acquired at no cash price and increase his total beneficial ownership to 220,125 shares. An explanatory note states the 5,600 shares are stock units that will vest 25% per year beginning on September 18, 2026.
Brian A. Hennessy, a director of Hennessy Advisors Inc. (ticker HNNA / symbol provided as HNNAZ in metadata), reported transactions on Form 4 dated 09/18/2025. The filing shows an acquisition of 5,600 shares of Common Stock under code A(1) at $0, representing stock units that will vest 25% per year beginning September 18, 2026. Following the reported acquisition, 233,964.5 shares are shown as beneficially owned indirectly by a trust. The filing also reports 21,387.8296 shares associated with a spouse's IRA (listed as a disposition and as indirectly owned). The report notes 742.1462 shares acquired through automatic dividend reinvestments. The form is signed by an attorney-in-fact on 09/19/2025.
Susan W. Pomilia, a director of Hennessy Advisors Inc. (HNNA), reported an acquisition on 09/18/2025 of 5,600 common stock units. The filing shows 5,600 shares were acquired at $0 and are described as stock units that will vest 25% per year beginning September 18, 2026. After the transaction Pomilia beneficially owns 49,887 shares directly and 67,619 shares indirectly through her spouse's IRA.
The Form 4 was signed by an attorney-in-fact on 09/19/2025. No derivative transactions or exercise prices are reported in this filing.
Thomas L. Seavey, a director of Hennessy Advisors Inc (HNNAZ), reported acquiring 5,600 shares of Common Stock on 09/18/2025 at a reported price of $0. After the reported transaction he beneficially owns 56,029 shares. The filing explains the 5,600 shares are underlying stock units that will vest 25% per year beginning on September 18, 2026. The filing also notes an administrative correction: 5 shares were previously reported as sold but there was in fact no transaction. The Form 4 was signed by an attorney-in-fact on 09/19/2025.
Lydia D. Knight O'Riordan, a director of Hennessy Advisors Inc. (ticker reported as HNNA in the filing), acquired 5,600 shares/stock units on 09/18/2025 at a reported price of $0, increasing her total beneficial ownership to 21,300 shares.
The filing notes these 5,600 units will vest 25% per year beginning on 09/18/2026. The Form 4 was signed on behalf of the reporting person by an attorney-in-fact on 09/19/2025 and was filed as a single reporting person disclosure.
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.