Neil J Hennessy

CIK 1165099 · CEO · last filed 2026-09-22

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$21.43M

Companies

Total Filings

Lifetime Open-Market Net

-$790.0K

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

HNNA price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Open-market buying and selling

by month

Dollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.

Exposure by company

latest

OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

Filer Profile

Reported Address

7250 REDWOOD BLVD.
SUITE 200
NOVATO, CA 94945

Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count in each company: direct shares plus every indirect holder (trusts, LLCs, partnerships, family members) on the latest Form 4 that lists them. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
HNNA	CEO	2,110,932	$10.15	$21.43M	-$1.03M	56	2026-09-22
HENNESSY ADVISORS INC (HNNAZ) Delisted	CEO	2,091,232	$24.90	$52.07M	$242.1K	19	2025-09-19

Holdings By Holder

Who holds the shares on record: the insider directly, and each trust, LLC, partnership or family member reported as an indirect holder on the latest Form 4 that lists them. Holder names come from the filing's footnotes. Rows under No longer reported appeared on earlier filings but not the latest one, usually because the holder was emptied or folded into another; they are not counted in the total.

Symbol	Holder	Shares	Share of Total	Reported
HNNA	Direct	5,062	0.2%	2026-09-22
	By Trust	2,080,811	98.6%	2026-09-22
	By Spouse's IRA	25,059	1.2%	2026-09-22
	Total	2,110,932
	No longer reported
	By spouse	25,312	—	last 2021-10-01
	By dependent child	11,250	—	last 2015-09-29
	As custodian for minor children	5,250	—	last 2013-12-20
	Custodian for minor children	2,250	—	last 2007-06-01
HNNAZ	Direct	5,062	0.2%	2025-09-19
	By Trust	2,061,111	98.6%	2025-09-19
	By Spouse's IRA	25,059	1.2%	2025-09-19
	Total	2,091,232
	No longer reported
	By spouse	25,059	—	last 2023-12-13

Recent Filings · Page 2 of 8

75 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144, so not all of them end in a sale. Under each notice: the role the filer ticked on it, and whether a sale followed (a Form 4 sale within 30 days, or a sale listed on a later notice).

Filed	Symbol	Action	Net Shares	Net $	Link
2023-06-23	HENNESSY ADVISORS INC (HNNAZ) Delisted	Buy (P)	+1,775	$12.6K	EDGAR
2023-06-21	HENNESSY ADVISORS INC (HNNAZ) Delisted	Buy (P)	+1,862	$13.2K	EDGAR
2023-05-30	HENNESSY ADVISORS INC (HNNAZ) Delisted	Buy (P)	+3,002	$20.7K	EDGAR
2023-05-24	HENNESSY ADVISORS INC (HNNAZ) Delisted	Buy (P)	+7,500	$51.4K	EDGAR
2023-05-23	HENNESSY ADVISORS INC (HNNAZ) Delisted	Buy (P)	+12,000	$82.8K	EDGAR
2022-12-27	HENNESSY ADVISORS INC (HNNAZ) Delisted	Gift (G)	−12,500	$0	EDGAR
2022-09-20	HENNESSY ADVISORS INC (HNNAZ) Delisted	Mixed	+11,847	-$35.1K	EDGAR
2022-09-14	HENNESSY ADVISORS INC (HNNAZ) Delisted	Tax (F)	−1,951	-$18.5K	EDGAR
2022-09-01	HENNESSY ADVISORS INC (HNNAZ) Delisted	Tax (F)	−1,951	-$19.4K	EDGAR
2021-12-23	HENNESSY ADVISORS INC (HNNAZ) Delisted	Gift (G)	−40,000	$0	EDGAR

Showing 11–20 of 75

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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment, and an amended or cancelled notice is not listed. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes. Someone who is no longer an officer or director (or never was) files no Form 4, so for them a sale shows up only on a later notice, which lists the seller's sales from the 3 months before it. "No sale on file" means neither record shows one; a dash in Net $ means the value filed on the notice doesn't fit the stock's price (likely a typo).