HENNESSY ADVISORS INC — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| SEAVEY THOMAS L | — | Option Exercise | 2,300 | $3.55 | $8,165 | 21,375 | Mar 23, 2007 |
| SEAVEY THOMAS L | — | Sale | 2,300 | $15.75 | $36,225 | 19,075 | Mar 23, 2007 |
| HENNESSY NEIL J | President and CEO | Sale | 1 | $16.00 | $16 | 1,916,730 | Mar 22, 2007 |
| HENNESSY NEIL J | President and CEO | Sale | 241 | $16.00 | $3,856 | 1,916,731 | Mar 16, 2007 |
| HENNESSY NEIL J | President and CEO | Sale | 7,451 | $16.00 | $119,216 | 1,916,972 | Mar 14, 2007 |
| HENNESSY NEIL J | President and CEO | Sale | 3,650 | $16.00 | $58,400 | 1,924,423 | Mar 12, 2007 |
| HENNESSY NEIL J | President and CEO | Gift | 1,000 | — | — | 1,000 | Feb 13, 2007 |
| NILSEN TERESA M | EVP, CFO and Secretary | Option Exercise | 11,315 | $10.67 | $120,731 | 49,040 | Feb 6, 2007 |
| NILSEN TERESA M | EVP, CFO and Secretary | Sale | 300 | $25.32 | $7,596 | 38,325 | Feb 5, 2007 |
| LIBARLE DANIEL G | — | Award / Grant | 1,500 | — | — | 14,250 | Jan 22, 2007 |
| STEADMAN DANIEL B | Executive Vice President | Award / Grant | 3,000 | — | — | 16,350 | Jan 22, 2007 |
| NILSEN TERESA M | EVP, CFO and Secretary | Award / Grant | 3,000 | — | — | 37,725 | Jan 22, 2007 |
| HENNESSY NEIL J | President and CEO | Award / Grant | 3,000 | — | — | 1,303,049 | Jan 22, 2007 |
| SEAVEY THOMAS L | — | Award / Grant | 1,500 | — | — | 14,250 | Jan 22, 2007 |
| OFFENBACH RODGER | — | Award / Grant | 1,500 | — | — | 23,050 | Jan 22, 2007 |
| HENNESSY BRIAN A | — | Award / Grant | 1,500 | — | — | 112,375 | Jan 22, 2007 |
| HANSEL HENRY | — | Award / Grant | 1,500 | — | — | 52,050 | Jan 22, 2007 |
| BENNETT CHARLES W | — | Award / Grant | 1,500 | — | — | 4,500 | Jan 22, 2007 |
| HENNESSY NEIL J | President and CEO | Gift | 10,000 | — | — | 1,300,049 | Dec 27, 2006 |
| HENNESSY NEIL J | President and CEO | Gift | 1,000 | — | — | 1,310,049 | Oct 18, 2006 |
| HENNESSY BRIAN A | — | Gift | 1,000 | — | — | 110,875 | Oct 18, 2006 |
| HENNESSY NEIL J | President and CEO | Sale | 25,000 | $25.00 | $625,000 | 1,309,049 | Sep 12, 2006 |
| HENNESSY NEIL J | President and CEO | Sale | 400 | $25.00 | $10,000 | 1,334,049 | Sep 11, 2006 |
| HENNESSY NEIL J | President and CEO | Sale | 200 | $25.03 | $5,006 | 1,334,449 | Sep 8, 2006 |
| OFFENBACH RODGER | — | Purchase | 200 | $24.00 | $4,800 | 2,833 | Aug 17, 2006 |
| BENNETT CHARLES W | — | Award / Grant | 1,500 | — | — | 3,000 | Aug 2, 2006 |
| STEADMAN DANIEL B | Executive Vice President | Option Exercise | 5,000 | $5.33 | $26,650 | 18,350 | May 25, 2006 |
| NILSEN TERESA M | EVP, CFO and Secretary | Sale | 3,000 | $29.00 | $87,000 | 34,725 | May 25, 2006 |
| HENNESSY BRIAN A | — | Gift | 1,000 | — | — | 114,875 | May 25, 2006 |
| HANSEL HENRY | — | Sale | 7,200 | $30.00 | $216,000 | 50,550 | May 17, 2006 |
| OFFENBACH RODGER | — | Sale | 2,000 | $30.00 | $60,000 | 21,550 | May 10, 2006 |
| HENNESSY NEIL J | President and CEO | Sale | 300 | $19.60 | $5,880 | 1,372,549 | Mar 15, 2006 |
| LIBARLE DANIEL G | — | Option Exercise | 3,750 | $4.45 | $16,688 | 16,500 | Mar 14, 2006 |
| STEADMAN DANIEL B | Executive Vice President | Sale | 11,250 | $29.00 | $326,250 | 8,900 | Feb 13, 2006 |
| OFFENBACH RODGER | — | Purchase | 150 | $30.00 | $4,500 | 1,755 | Feb 13, 2006 |
| HANSEL HENRY | — | Award / Grant | 1,000 | — | — | 38,500 | Jan 26, 2006 |
| HENNESSY BRIAN A | — | Award / Grant | 1,000 | — | — | 77,250 | Jan 26, 2006 |
| BENNETT CHARLES W | — | Award / Grant | 1,000 | — | — | 9,000 | Jan 26, 2006 |
| OFFENBACH RODGER | — | Award / Grant | 1,000 | — | — | 18,055 | Jan 26, 2006 |
| LIBARLE DANIEL G | — | Award / Grant | 1,000 | — | — | 8,500 | Jan 26, 2006 |
| SEAVEY THOMAS L | — | Award / Grant | 1,000 | — | — | 8,500 | Jan 26, 2006 |
| STEADMAN DANIEL B | Executive Vice President | Award / Grant | 5,000 | — | — | 8,900 | Jan 26, 2006 |
| BENNETT CHARLES W | — | Award / Grant | 1,000 | — | — | 1,000 | Jan 26, 2006 |
| OFFENBACH RODGER | — | Award / Grant | 1,000 | — | — | 15,700 | Jan 26, 2006 |
| NILSEN TERESA M | EVP, CFO and Secretary | Award / Grant | 5,000 | — | — | 25,150 | Jan 26, 2006 |
| HENNESSY NEIL J | President and CEO | Gift | 10,000 | — | — | 915,233 | Dec 28, 2005 |
| OFFENBACH RODGER | — | Purchase | 300 | $22.00 | $6,600 | 9,800 | May 6, 2004 |
| OFFENBACH RODGER | — | Purchase | 500 | $24.75 | $12,375 | 1,570 | Mar 18, 2004 |