HNNA insider filings

Name: HNNA insider filings (SEC Forms 3/4/5)
Creator: FilingPulse
License: https://www.sec.gov/edgar

HENNESSY ADVISORS INC — 50 most recent insider filings (SEC Forms 3/4/5) from EDGAR, normalized by FilingPulse. Latest filing: 2026-10-01. Screen HNNA transaction legs live →

Insider transaction summary — last 90 days

2026-07-10 to 2026-10-08, from the filings listed below: 16 insider filings (Forms 3/4/5). Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.

Open-market purchases (code P, non-derivative): none reported.
Open-market sales (code S, non-derivative): 5 legs across 4 filings by 3 insiders — 8,171 shares, $83,583 total (shares × price as filed).
Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 16.
Largest priced transaction: sale of 5,000 shares @ $10.26 ($51,313) by STEADMAN DANIEL B, filed 2026-09-25.

By insider — same window

Open-market purchase/sale legs on non-derivative securities, grouped by the filing's reporting owner(s); joint filings appear once. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.

Insider	Filings	Purchases (P)	Sales (S)	Other legs
STEADMAN DANIEL B — Executive VP	3	—	1 leg · 5,000 sh · $51,313	3
SEAVEY THOMAS L — Director	2	—	1 leg · 1,875 sh · $19,031	1
Newton Kiera — Director	3	—	3 legs · 1,296 sh · $13,238	1
Fahy Kathryn — SVP and CFO	1	—	—	2
HENNESSY NEIL J — CEO, Director, 10% owner	1	—	—	2
NILSEN TERESA M — President, COO and Secretary, Director	1	—	—	2
HANSEL HENRY — Director	1	—	—	1
HENNESSY BRIAN A — Director	1	—	—	1
Knight ORiordan Lydia D — Director	1	—	—	1
LIBARLE DANIEL G	1	—	—	1

+1 more insider in the window, not shown — every filing appears in the table below.

Recent insider filings — HENNESSY ADVISORS INC

Filed	Form	Insider	Reported transactions	Source
2026-10-01	4	STEADMAN DANIEL B — Executive VP	Gift (G): 2,000 @ $0	EDGAR
2026-09-30	4	Newton Kiera — Director	Sale (S): 504 @ $10.02	EDGAR
2026-09-28	4	SEAVEY THOMAS L — Director	Sale (S): 1,875 @ $10.15	EDGAR
2026-09-25	4	STEADMAN DANIEL B — Executive VP	Sale (S): 5,000 @ $10.26	EDGAR
2026-09-22	4	HENNESSY NEIL J — CEO, Director, 10% owner	Grant/award (A): 19,700 @ $0 · Tax withholding (F): 9,520.50 @ $10.38	EDGAR
2026-09-22	4	STEADMAN DANIEL B — Executive VP	Grant/award (A): 9,400 @ $0 · Tax withholding (F): 3,206 @ $10.38	EDGAR
2026-09-22	4	NILSEN TERESA M — President, COO and Secretary, Director	Grant/award (A): 19,700 @ $0 · Tax withholding (F): 9,520.50 @ $10.38	EDGAR
2026-09-22	4	Fahy Kathryn — SVP and CFO	Grant/award (A): 12,500 @ $0 · Tax withholding (F): 4,258 @ $10.38	EDGAR
2026-09-22	4	Pomilia Susan Weber — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-22	4	HENNESSY BRIAN A — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-22	4	HANSEL HENRY — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-22	4	Knight ORiordan Lydia D — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-22	4	SEAVEY THOMAS L — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-22	4	LIBARLE DANIEL G	Grant/award (A): 2,800 @ $0	EDGAR
2026-09-22	4	Newton Kiera — Director	Grant/award (A): 5,600 @ $0	EDGAR
2026-09-16	4	Newton Kiera — Director	Sale (S): 593 @ $10.34 · Sale (S): 199 @ $10.35	EDGAR
2026-05-12	4	Fahy Kathryn — SVP and CFO	Sale (S): 10,000 @ $10	EDGAR
2025-12-31	4	Newton Kiera — Director	Sale (S): 571 @ $9.35	EDGAR
2025-12-29	4	STEADMAN DANIEL B — Executive VP	Gift (G): 750 @ $0	EDGAR
2025-12-22	4	HENNESSY BRIAN A — Director	Gift (G): 4,900 @ $0	EDGAR
2025-12-11	4	Fahy Kathryn — SVP and CFO	Gift (G): 2,000 @ $0	EDGAR
2025-12-09	4	STEADMAN DANIEL B — Executive VP	Gift (G): 500 @ $0 · Gift (G): 500 @ $0	EDGAR
2025-09-29	4	Newton Kiera — Director	Sale (S): 390 @ $10.73	EDGAR
2025-09-25	4	Newton Kiera — Director	Sale (S): 3 @ $11	EDGAR
2025-09-19	4	HENNESSY NEIL J — CEO, Director, 10% owner	Grant/award (A): 19,700 @ $0 · Tax withholding (F): 9,000 @ $11.08	EDGAR
2025-09-19	4	NILSEN TERESA M — President, COO and Secretary, Director	Grant/award (A): 19,700 @ $0 · Tax withholding (F): 9,000 @ $11.08	EDGAR
2025-09-19	4	STEADMAN DANIEL B — Executive VP	Grant/award (A): 9,400 @ $0 · Tax withholding (F): 3,008 @ $11.08	EDGAR
2025-09-19	4	Fahy Kathryn — SVP and CFO	Grant/award (A): 12,500 @ $0 · Tax withholding (F): 4,022 @ $11.08	EDGAR
2025-09-19	4	HANSEL HENRY — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	HENNESSY BRIAN A — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	Pomilia Susan Weber — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	SEAVEY THOMAS L — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	Knight ORiordan Lydia D — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	Newton Kiera — Director	Grant/award (A): 5,600 @ $0	EDGAR
2025-09-19	4	LIBARLE DANIEL G	Grant/award (A): 2,800 @ $0	EDGAR
2025-09-19	4	OFFENBACH RODGER	Grant/award (A): 2,800 @ $0	EDGAR
2025-09-03	4	STEADMAN DANIEL B — Executive VP	Gift (G): 2,000 @ $0	EDGAR
2025-08-18	4	SEAVEY THOMAS L — Director	Sale (S): 2,698 @ $10.70 · Sale (S): 2,603 @ $10.63	EDGAR
2025-08-14	4	SEAVEY THOMAS L — Director	Sale (S): 7,000 @ $10.85 · Sale (S): 7,704 @ $10.71	EDGAR
2025-05-14	4	Fahy Kathryn — SVP and CFO	Sale (S): 10,000 @ $10.71	EDGAR
2025-03-31	4	NILSEN TERESA M — President, COO and Secretary, Director	Sale (S): 4,000 @ $10.42	EDGAR
2025-03-27	4	Newton Kiera — Director	Sale (S): 575 @ $10.52	EDGAR
2025-03-27	4	NILSEN TERESA M — President, COO and Secretary, Director	Sale (S): 3,000 @ $10.55 · Sale (S): 1,000 @ $10.47 · Sale (S): 4,000 @ $10.53 · Gift (G): 4,000 @ $0 · Gift (G): 4,000 @ $0	EDGAR
2025-03-24	4	NILSEN TERESA M — President, COO and Secretary, Director	Sale (S): 1,860 @ $10.46 · Sale (S): 3,000 @ $10.38 · Sale (S): 3,000 @ $10.50	EDGAR
2025-03-05	4	HENNESSY BRIAN A — Director	Gift (G): 1,000 @ $0	EDGAR
2025-02-27	4	Fahy Kathryn — SVP and CFO	Sale (S): 8,000 @ $11.07	EDGAR
2024-12-30	4	STEADMAN DANIEL B — Executive VP	Gift (G): 750 @ $0 · Sale (S): 3,100 @ $11.80 · Sale (S): 1,000 @ $11.90	EDGAR
2024-12-30	4	HENNESSY NEIL J — CEO, Director, 10% owner	Gift (G): 10,000 @ $0	EDGAR
2024-12-30	4	Newton Kiera — Director	Sale (S): 330 @ $12.02	EDGAR
2024-12-26	4	HENNESSY BRIAN A — Director	Gift (G): 6,500 @ $0 · Gift (G): 2,500 @ $0	EDGAR

Recent 8-K events — HENNESSY ADVISORS INC

Filed	Form	Items reported	Source
2026-08-05	8-K	2.02 — Results of Operations and Financial Condition 7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2026-05-28	8-K	8.01 — Other Events	EDGAR
2026-05-06	8-K	2.02 — Results of Operations and Financial Condition 7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2026-02-09	8-K	5.07 — Submission of Matters to a Vote of Security Holders	EDGAR
2026-02-05	8-K	2.02 — Results of Operations and Financial Condition 7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2025-12-03	8-K	2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits	EDGAR
2025-10-29	8-K	7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2025-08-06	8-K	2.02 — Results of Operations and Financial Condition 7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2025-05-07	8-K	2.02 — Results of Operations and Financial Condition 7.01 — Regulation FD Disclosure 9.01 — Financial Statements and Exhibits	EDGAR
2025-03-14	8-K	8.01 — Other Events 9.01 — Financial Statements and Exhibits	EDGAR

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