Welcome to our dedicated page for HENNESSY ADVISORS SEC filings (Ticker: HNNAZ), 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.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on HENNESSY ADVISORS's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into HENNESSY ADVISORS's regulatory disclosures and financial reporting.
Hennessy Advisors, Inc. (HNNA) has a new significant passive shareholder. Seaport Global Asset Management LLC and Stephen C. Smith jointly report beneficial ownership of 409,015 shares of Hennessy Advisors common stock as of December 31, 2025.
This holding represents 5.2% of the common stock, based on 7,891,917 shares outstanding as of December 8, 2025, as cited from the company’s proxy statement. The shares are held for investment by Seaport’s advisory clients and trusts it manages, and the filers certify they are not seeking to change or influence control of Hennessy Advisors.
HENNESSY ADVISORS INC filed a Form 13F disclosing institutional holdings with a reported total value of $2,821,809,104 across 283 positions. The report is signed by Teresa M. Nilsen, President and Chief Operating Officer, on 01-27-2026.
Neil J. Hennessy, identified as a director, CEO and greater-than-10% owner of Hennessy Advisors Inc. (HNNAZ), reported multiple transactions on 09/18/2025. The filing shows an acquisition of 19,700 common stock units at $0 that will vest 25% per year beginning 09/18/2026 and are held indirectly by trust, bringing indirect beneficial ownership to 2,070,111.5 shares after the acquisition. The filing also discloses a sale of 9,000 shares at $11.08, reducing trust-held indirect ownership to 2,061,111.5. Additional positions are listed as a disposition of 5,062 shares and 25,059 shares held indirectly via a spouse's IRA; the form does not specify prices or further details for those entries. All transactions were signed by an attorney-in-fact on 09/19/2025.
Teresa M. Nilsen, Director and President, COO and Secretary of HENNESSY ADVISORS INC (HNNA / HNNAZ), reported multiple changes in her beneficial ownership on 09/18/2025. She acquired 19,700 non‑derivative common stock units via an award coded A(1) at $0, bringing her total reported beneficial ownership to 159,823 shares (these 19,700 units vest 25% per year beginning 09/18/2026). She also reported a disposition of 9,000 shares on 09/18/2025 at a price of $11.08, reducing direct holdings to 150,823 shares. The filing discloses indirect holdings of 9,943 shares (9,425 held for a child and 1,518 by spouse's IRA) rather than additional transactions. The form is signed 09/19/2025.
Daniel B. Steadman, Executive Vice President and officer of Hennessy Advisors Inc., reported transactions on 09/18/2025. He was granted 9,400 common stock units at $0 that will vest 25% per year beginning 09/18/2026, and sold 3,008 shares at $11.08 each. After these transactions he directly beneficially owned 37,824 shares and had an indirect interest in 1,750 shares held for a child. The Form 4 was signed by an attorney-in-fact on 09/19/2025.
Kathryn Fahy, SVP and CFO of Hennessy Advisors Inc., reported insider transactions dated 09/18/2025. The filing shows an acquisition of 12,500 shares of Common Stock through a grant recorded as $0 consideration; these shares are described as stock units that will vest 25% per year beginning on September 18, 2026. The filing also reports a disposition of 4,022 shares sold at a price of $11.08 per share, leaving 72,688.93 shares beneficially owned after the transactions. The form is signed by an attorney-in-fact on 09/19/2025.
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.