HNNA Pengajuan SEC - Hennessy Advisors, Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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LEI	549300OM5HCSFZO7FR31
CIK	1145255

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Hennessy Advisors, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 6, 2025	EX-99.1	Hennessy Advisors, Inc. Reports Quarterly Earnings and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports Quarterly Earnings and Announces Quarterly Dividend August 6, 2025, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) today announced financial results f
August 6, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO S FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
August 6, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 HENNESSY ADVISORS, I UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 HENNESSY ADVISORS, INC.
May 7, 2025	EX-99.1	Hennessy Advisors, Inc. Reports 65% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hibre Teklemariam Hennessy Advisors, Inc. SunStar Strategic [email protected]; 800-966-4354 [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 65% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend May 7, 2025, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) reported res
May 7, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
May 7, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 HENNESSY ADVISORS, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 HENNESSY ADVISORS, INC.
March 14, 2025	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2025 HENNESSY ADVISORS, INC.
March 14, 2025	EX-99.1	Hennessy Advisors, Inc. to Acquire STF Management ETFs and Welcome Portfolio Manager Jonathan Molchan Exhibit 99.1 FOR IMMEDIATE RELEASE Media Contact: Teresa Nilsen Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. to Acquire STF Management ETFs and Welcome Portfolio Manager Jonathan Molchan Novato, CA – March 14, 2025 – Hennessy Advisors, Inc. (Nasdaq: HNNA) announced that it has signed a definitive agreement with STF Management, LP (“STFM”) to signif
February 18, 2025	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2025 HENNESSY ADVISORS, INC.
February 13, 2025	EX-99.1	Hennessy Advisors, Inc. Reports 125% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 125% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend February 13, 2025, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) repor
February 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT FORM 10-Q FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 13, 2025	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2025 HENNESSY ADVISORS, INC.
December 18, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e
December 16, 2024	8-K	Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2024 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 001-36423 68-0176227 (State or other jurisdiction of incorporation) (Commis
December 16, 2024	EX-16.1	Letter from Marcum dated December 16, 2024. Exhibit 16.1 December 16, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Hennessy Advisors, Inc. under Item 4.01 of its Form 8-K dated December 10, 2024. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Hennessy Advisors, Inc.
December 11, 2024	EX-19	Code of Ethics (which includes the Company’s Insider Trading Policy) Exhibit 19 Code of Ethics for Hennessy Funds Trust and Hennessy Advisors, Inc. August 2023 Code of Ethics August 2023 TABLE OF CONTENTS Page I. GENERAL 1 A. Introduction 1 B. Definitions 1 II. STANDARDS OF BUSINESS CONDUCT 3 A. General Standards 3 B. Specific Duties and Responsibilities 3 C. Reporting Violations 4 III. PERSONAL SECURITIES INVESTMENT TRANSACTIONS POLICY 5 A. General 5 B. Accounts C
December 11, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2024 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 001-36423 68-0176227 (State or other jurisdiction of incorporation) (Commis
December 11, 2024	EX-99.1	Hennessy Advisors, Inc. Reports 46% Increase in Annual Earnings Per Share Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre TeklSunStar SunStar Strategic [email protected]; 703-894-1057tegicemariam FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 46% Increase in Annual Earnings Per Share December 11, 2024, Novato, CA - Hennessy Advisors, Inc. (Nasdaq: HNNA) today reported results fo
December 11, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECT FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
October 30, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 001-36423 68-0176227 (State or other jurisdiction of incorporation) (Commiss
October 30, 2024	EX-99.1	Hennessy Advisors, Inc. Announces Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hibre Teklemariam Hennessy Advisors, Inc. SunStar Strategic [email protected]; 800-966-4354 [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Announces Dividend October 30, 2024, Novato, CA - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375
September 20, 2024	EX-99.1	SECOND AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 99.1 SECOND AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT This SECOND AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Amendment”), effective as of September 20, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Neil J. Hennessy (the “Employee”). RECITALS WHEREAS, the Company and the Employee previously entered into a Fourth Amende
September 20, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 16, 2024 HENNESSY ADVISORS, INC.
September 20, 2024	EX-99.2	SECOND AMENDMENT TO EMPLOYMENT AGREEMENT Exhibit 99.2 SECOND AMENDMENT TO EMPLOYMENT AGREEMENT This SECOND AMENDMENT TO EMPLOYMENT AGREEMENT (this “Amendment”), effective as of September 20, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Teresa M. Nilsen (the “Employee”). RECITALS WHEREAS, the Company and the Employee previously entered into an Employment Agreement, dated as of January 26, 2018, as amended on Fe
August 8, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO S FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
August 8, 2024	EX-99.1	Hennessy Advisors, Inc. Reports 73% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 73% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend August 8, 2024, Novato, CA - Hennessy Advisors, Inc. (Nasdaq: HNNA) reported
August 8, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2024 HENNESSY ADVISORS, INC.
May 8, 2024	EX-99.1	Hennessy Advisors, Inc. Reports 25% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hibre Teklemariam Hennessy Advisors, Inc. SunStar Strategic [email protected]; 800-966-4354 [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 25% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend May 8, 2024, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) reported res
May 8, 2024	8-K	Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2024 HENNESSY ADVISORS, INC.
May 8, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO S FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
May 8, 2024	EX-3.1	Sixth Amended and Restated Bylaws (19) Exhibit 3.1 SIXTH AMENDED AND RESTATED BYLAWS OF HENNESSY ADVISORS, INC. Dated as of May 8, 2024 Table of Contents TABLE OF CONTENTS Page ARTICLE I OFFICES 1 Section 1. PRINCIPAL OFFICES. 1 Section 2. OTHER OFFICES. 1 ARTICLE II MEETINGS OF SHAREHOLDERS 1 Section 1. PLACE OF MEETINGS. 1 Section 2. ANNUAL MEETING. 1 Section 3. SPECIAL MEETING. 1 Section 4. NOTICE OF SHAREHOLDERS’ MEETINGS. 2 Sectio
February 23, 2024	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2024 HENNESSY ADVISORS, INC.
February 23, 2024	EX-99.1	Hennessy Advisors, Inc. Acquires the CCM Core Impact Equity Fund FOR IMMEDIATE RELEASE Media Contact: Teresa Nilsen Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. Acquires the CCM Core Impact Equity Fund Novato, CA – February 23, 2024 - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has completed the acquisition of assets related to the management of the CCM Core Impact Equity Fund. As a result, th
February 9, 2024	S-8	As filed with the Securities and Exchange Commission on February 9, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ________________________________ FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 _______ File No. 333- As filed with the Securities and Exchange Commission on February 9, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 68-0176227 (State or other jurisdiction of incorporation or organization) (I.R.S. Empl
February 9, 2024	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 HENNESSY ADVISORS, INC.
February 9, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 HENNESSY ADVISORS, INC.
February 8, 2024	EX-10.2	Form of Restricted Stock Unit Award Agreement for Employees (1)(17) Exhibit 10.2 Form of Restricted Stock Unit Award Agreement for Employees HENNESSY ADVISORS, INC. 2024 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT [Name] [Address] [Telephone]: () - Dear : You have been granted an award of restricted stock units of Hennessy Advisors, Inc. (the “Company”) under the Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan (the “Plan”) and this Restricted
February 8, 2024	EX-10.5	as previously amended Exhibit 10.5 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (this “Amendment”), effective as of February 8, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Teresa M. Nilsen (the “Employee”). RECITALS WHEREAS, the Company and the Employee previously entered into an Employment Agreement, dated as of January 26, 2018 (the “Agreement”); an
February 8, 2024	EX-10.3	Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members (1)(17) Exhibit 10.3 Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members HENNESSY ADVISORS, INC. 2024 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT [Name] [Address] [Telephone]: () - Dear : You have been granted an award of restricted stock units of Hennessy Advisors, Inc. (the “Company”) under the Hennessy Advisors, Inc. 2024 Omnibus Incentive Plan (t
February 8, 2024	EX-10.4	as previously amended Exhibit 10.4 FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT This FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Amendment”), effective as of February 8, 2024, is made by and between Hennessy Advisors, Inc. (the “Company”) and Neil J. Hennessy (the “Employee”). RECITALS WHEREAS, the Company and the Employee previously entered into a Fourth Amended an
February 8, 2024	EX-99.1	Hennessy Advisors, Inc. Reports 7% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports 7% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend February 8, 2024, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) reported
February 8, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT T FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 8, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 HENNESSY ADVISORS, INC.
January 5, 2024	424B3	HENNESSY ADVISORS, INC. Dividend Reinvestment and Stock Purchase Plan 1,530,000 Shares of Common Stock (no par value) Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-275964 HENNESSY ADVISORS, INC. PROSPECTUS Dividend Reinvestment and Stock Purchase Plan 1,530,000 Shares of Common Stock (no par value) We offer to participants in our Dividend Reinvestment and Stock Purchase Plan an opportunity to purchase our common stock, no par value. The plan provides holders of shares of our common stock
January 3, 2024	CORRESP	Hennessy Advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 January 3, 2024 Hennessy Advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 January 3, 2024 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. Registration Statement on Form S-3 Filed December 8, 2023 File No. 333-275964 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Ac
December 13, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e
December 8, 2023	S-3	As filed with the Securities and Exchange Commission on December 8, 2023 Table of Contents As filed with the Securities and Exchange Commission on December 8, 2023 Registration No.
December 8, 2023	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables FORM S-3 (Form Type) HENNESSY ADVISORS, INC.
December 7, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECT FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
December 7, 2023	EX-10.16	First Amendment to Sub‑Advisory Agreement, dated as of April 28, 2023, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition sub‑advisor)) Exhibit 10.16 FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT THIS FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT (this “Amendment”) is effective as of April 28, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Stance Capital, LLC, a Massachusetts limited liability company (the “Sub‑Adviser”). RECITALS WHEREAS, the Adviser and the Sub-Adviser are parties to that cer
December 7, 2023	EX-10.9	First Amendment to Investment Advisory Agreement, dated as of April 28, 2023, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) Exhibit 10.9 FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT THIS FIRST AMENDMENT TO INVESTMENTADVISORY AGREEMENT (this “Amendment”) is effective as of April 28, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Hennessy Funds Trust, a Delaware statutory trust (the “Trust”). RECITALS WHEREAS, the Adviser and the Trust are parties to that certain Investmen
December 7, 2023	EX-10.15	Sub‑Advisory Agreement, dated as of December 22, 2022, between the registrant and Stance Capital, LLC (for the Hennessy Stance ESG ETF (portfolio composition sub‑advisor)) Exhibit 10.15 SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of December 22, 2022, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Stance Capital, LLC, a Massachusetts limited liability company (the “Sub Adviser”). RECITALS WHEREAS, the Adviser is registered as an investment adviser under the Investment Advisers Act of 1940, a
December 7, 2023	EX-10.17	Sub‑Advisory Agreement, dated as of July 14, 2023, between the registrant and Vident Advisory, LLC (for the Hennessy Stance ESG ETF (trading sub‑advisor)) Exhibit 10.17 SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made as of July 14, 2023, by and between Hennessy Advisors, Inc., a California corporation (the “Adviser”), and Vident Advisory, LLC, a Delaware limited liability company (the “Sub‑Adviser”). RECITALS WHEREAS, the Adviser is registered as an investment adviser under the Investment Advisers Act of 1940, as amende
December 7, 2023	EX-10.6	First Amendment to Investment Advisory Agreement, dated as of February 28, 2017, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Focus Fund, the Hennessy Equity and Income Fund, the Hennessy Gas Utility Fund, the Hennessy Large Cap Financial Fund, the Hennessy Small Cap Financial Fund, and the Hennessy Technology Fund) Exhibit 10.6 FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT THIS FIRST AMENDMENT TO INVESTMENT ADVISORY AGREEMENT (this “Amendment”) is made and entered into effective as of February 28, 2017, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter
December 7, 2023	EX-10.8	Investment Advisory Agreement, dated as of December 22, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Stance ESG ETF) Exhibit 10.8 INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of December 22, 2022 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hen
December 7, 2023	EX-10.7	Amended and Restated Investment Advisory Agreement, dated as of February 28, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Energy Transition Fund and the Hennessy Midstream Fund) Exhibit 10.7 AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of February 28, 2022, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as
December 7, 2023	EX-97	Hennessy Advisors, Inc. Compensation Recovery Policy Exhibit 97 Hennessy Advisors, Inc. Compensation Recovery Policy 1. Purpose. The purpose of this Compensation Recovery Policy (this “Policy”) is to describe the circumstances under which Hennessy Advisors, Inc. (the “Company”) is required to recover certain compensation paid to certain employees. Any references in compensation plans, agreements, equity awards, or other policies to the Company’s “re
December 7, 2023	EX-10.18	Second Amended and Restated Servicing Agreement, dated as of February 28, 2022, between the registrant and Hennessy Funds Trust (on behalf of all Hennessy Mutual Funds) Exhibit 10.18 SECOND AMENDED AND RESTATED SERVICING AGREEMENT THIS SECOND AMENDED AND RESTATED SERVICING AGREEMENT (this “Agreement”) is made as of February 28, 2022, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund”
December 6, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 HENNESSY ADVISORS, INC.
December 6, 2023	EX-99.1	Hennessy Advisors, Inc. Reports Annual Earnings Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports Annual Earnings December 6, 2023, Novato, CA - Hennessy Advisors, Inc. (Nasdaq: HNNA) today reported results for the fiscal year ended September 30, 2023.
November 13, 2023	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2023 HENNESSY ADVISORS, INC.
October 26, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 HENNESSY ADVISORS, INC.
October 26, 2023	EX-99.1	Hennessy Advisors, Inc. Announces Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hibre Teklemariam SunStar Strategic [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Announces Dividend October 26, 2023, Novato, CA - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375
August 2, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SE Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNESSY
August 2, 2023	EX-99.1	Hennessy Advisors, Inc. Reports Earnings and Announces Dividend Exhibit 99.1 Media Contacts: Teresa Nilsen Hibre Teklemariam Hennessy Advisors, Inc. SunStar Strategic [email protected]; 800-966-4354 [email protected]; 703-894-1057 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Reports Earnings and Announces Dividend August 2, 2023, Novato, CA - Hennessy Advisors, Inc. (Nasdaq:HNNA) reported results for its third fiscal quarter of 2023,
August 2, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 HENNESSY ADVISORS, I UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 HENNESSY ADVISORS, INC.
May 10, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 HENNESSY ADVISORS, INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 HENNESSY ADVISORS, INC.
May 10, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNES
May 10, 2023	EX-99	Hennessy Advisors, Inc. Reports Earnings and Announces Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports Earnings and Announces Dividend NOVATO, Calif., May 10, 2023 /PRNewswire/ - Hennessy Advisors, Inc. (Nasdaq: HNNA) reported results for its second fiscal quarter of 2023, which ended March 31, 2023. The firm also announced a quarterly dividend of $0.1375 per share to be paid on June 5, 2023, to shareholders of record as of May 23, 2023, which represents
April 26, 2023	EX-99	Hennessy Advisors, Inc. to Acquire the Assets of the Community Capital Management, LLC's Equity Funds Exhibit 99.1 Hennessy Advisors, Inc. to Acquire the Assets of the Community Capital Management, LLC's Equity Funds NOVATO, Calif., April 26, 2023 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has signed a definitive agreement with Community Capital Management, LLC ("CCM") related to the management of the CCM Core Impact Equity Fund and the CCM Small/Mid-Cap Impact V
April 26, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2023 HENNESSY ADVISORS, I UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2023 HENNESSY ADVISORS, INC.
February 13, 2023	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2023 HENNESSY ADVISORS, INC.
February 9, 2023	EX-99.1	Hennessy Advisors, Inc. Reports Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports Quarterly Earnings Per Share and Announces Quarterly Dividend NOVATO, Calif., Feb. 9, 2023 /PRNewswire/ - Hennessy Advisors, Inc. (Nasdaq:HNNA) reported results for its first fiscal quarter of 2023, which ended December 31, 2022. The firm also announced a quarterly dividend of $0.1375 per share to be paid on March 6, 2023, to shareholders of record as o
February 9, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2023 HENNESSY ADVISORS, INC.
February 9, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HEN
December 22, 2022	EX-99.1	Hennessy Advisors, Inc. Partners with Stance Capital, Completing its 11th Asset Purchase Exhibit 99.1 Hennessy Advisors, Inc. Partners with Stance Capital, Completing its 11th Asset Purchase NOVATO, Calif., Dec. 22, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has completed the transaction to become the advisor of the Stance Equity ESG Large Cap Core ETF (NYSE: STNC) (the "Stance ETF"). As a result, the Stance ETF has been reorganized to become a
December 22, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 HENNESSY ADVISORS, INC.
December 13, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule
December 8, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2022 HENNESSY ADVISORS, INC. (Exact name of Registrant as Specified in Its Charter) California 001-36423 68-0176227 (State or Other Jurisdiction of Incorporation) (Commiss
December 8, 2022	EX-99.1	Hennessy Advisors, Inc. Reports Annual Earnings Exhibit 99.1 Hennessy Advisors, Inc. Reports Annual Earnings NOVATO, Calif., Dec. 7, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (Nasdaq: HNNA) today reported results for the fiscal year ended September 30, 2022. "At the beginning of 2022, the financial markets were on the rise and our economy seemed unflappable as pandemic-related issues seemed to be subsiding. But as we all know, change is inevi
December 8, 2022	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2022 HENNESSY ADVISORS, INC. (Exact name of Registrant as Specified in Its Charter) California 001-36423 68-0176227 (State or Other Jurisdiction of Incorporation) (Commiss
December 8, 2022	EX-99.1	Hennessy Advisors, Inc. Announces Changes to the Board of Directors Exhibit 99.1 Hennessy Advisors, Inc. Announces Changes to the Board of Directors NOVATO, Calif., Dec. 8, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (the "Company") (Nasdaq: HNNA) today announced that Kiera Newton has been named to the Company's Board of Directors and as the new Chair to the Audit Committee. Ms. Newton is an excellent complement to the board with her extensive financial background
December 7, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION W ASHINGTON, D.C. 20549 FORM 10-K ☒ A NNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION W ASHINGTON, D.
December 1, 2022	SC 13G	HNNA / Hennessy Advisors Inc / Eden Douglas Todd Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendmnet No.)* Hennessy Advisors Inc. Name of Issuer) Common Stock, no par value (Title of Class of Securities) 425885100 (CUSIP Number) Douglas Eden, 13029 Sorrento Way, Bradenton, FL 34211, (904) 891-6255 (Name, Address and Telephone Number of Person Autho
October 27, 2022	EX-99.1	Hennessy Advisors, Inc. Announces Dividend Exhibit 99.1 Hennessy Advisors, Inc. Announces Dividend NOVATO, Calif., Oct. 27, 2022 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375 per share to be paid on November 30, 2022, to shareholders of record as of November 15, 2022, which represents an annualized dividend yield of 6.25%.* "We have paid our dividend without i
October 27, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 HENNESSY ADVISORS, INC.
August 30, 2022	EX-99.1	Hennessy Advisors, Inc. to add ETFs to the Fund Lineup Exhibit 99.1 FOR IMMEDIATE RELEASE Media Contact: Teresa Nilsen Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. to add ETFs to the Fund Lineup Novato, CA ? August 29, 2022 - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has signed a definitive agreement with Stance Capital, LLC (?Stance Capital?) and Red Gate Advisers, LLC, among othe
August 30, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2022 HENNESSY ADVISORS, INC.
August 3, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 ☐ TRANSITION REPORT PURSUANT TO S Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNESS
August 3, 2022	EX-99.1	Hennessy Advisors, Inc. Reports Earnings, Announces Dividend, and Increases Stock Buyback Plan Exhibit 99.1 Hennessy Advisors, Inc. Reports Earnings, Announces Dividend, and Increases Stock Buyback Plan NOVATO, Calif., Aug. 3, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) reported results for its third fiscal quarter of 2022, which ended June 30, 2022. The firm also announced a quarterly dividend of $0.1375 per share to be paid on August 31, 2022, to shareholders of record as o
August 3, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2022 HENNESSY ADVISORS, INC.
May 11, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 ☐ TRANSITION REPORT PURSUANT TO Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNES
May 11, 2022	EX-99.1	Hennessy Advisors, Inc. Reports Quarterly Earnings and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports Quarterly Earnings and Announces Quarterly Dividend NOVATO, Calif., May 11, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its second fiscal quarter of 2022, which ended March 31, 2022. The firm also announced a quarterly dividend of $0.1375 per share to be paid on June 2, 2022, to shareholders of record as of May 23, 202
May 11, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2022 HENNESSY ADVISORS, INC.
February 11, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2022 HENNESSY ADVISORS, INC.
February 10, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2022 HENNESSY ADVISORS, INC.
February 10, 2022	EX-99.1	Hennessy Advisors, Inc. Reports 4% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports 4% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend NOVATO, Calif., Feb. 10, 2022 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its first fiscal quarter of 2022, which ended December 31, 2021. The firm also announced a quarterly dividend of $0.1375 per share to be paid on March 4, 2022, to shareholder
February 10, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2021 ☐ TRANSITION REPORT PURSUANT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HEN
December 15, 2021	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule
December 1, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2021 HENNESSY ADVISORS, INC.
December 1, 2021	EX-99.1	Hennessy Advisors, Inc. Announces New Independent Board Member Exhibit 99.1 Hennessy Advisors, Inc. Announces New Independent Board Member NOVATO, Calif., Dec. 1, 2021 /PRNewswire/ - Hennessy Advisors, Inc. (the "Company") (Nasdaq: HNNA) today announced that Lydia Knight-O'Riordan has been named to the Company's Board of Directors. Ms. Knight-O'Riordan brings fresh perspective, community involvement, and significant management experience to the Hennessy Board
November 24, 2021	EX-99.1	Hennessy Advisors, Inc. Reports Annual Earnings Exhibit 99.1 Hennessy Advisors, Inc. Reports Annual Earnings NOVATO, Calif., Nov. 24, 2021 /PRNewswire/ - Hennessy Advisors, Inc. (Nasdaq:HNNA) today reported results for the fiscal year ended September 30, 2021. "The U.S. economy continues to show solid growth despite the lingering effects of COVID-19, some inflation, and supply chain hurdles," said Neil Hennessy, Chairman and CEO. "U.S. equities
November 24, 2021	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number 001-36423 HENNESS
November 24, 2021	EX-4.1	Exhibit 4.1 to our annual report on Form 10-K for the fiscal year ended September 30, 2021 Exhibit 4.1 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Hennessy Advisors, Inc. (the ?Company,? ?we,? ?our,? or ?us?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?), common stock, no par value per share (?Common Stock?). DESCRIPTION OF COMMON STOC
November 24, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2021 HENNESSY ADVISORS, INC.
October 29, 2021	EX-99.1	Hennessy Advisors, Inc. Announces Dividend Exhibit 99.1 Hennessy Advisors, Inc. Announces Dividend NOVATO, Calif., Oct. 29, 2021 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375 per share, which will be paid on November 23, 2021, to shareholders of record as of November 11, 2021. This quarterly dividend equates to an annualized dividend of $0.55, bringing the yie
October 29, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2021 HENNESSY ADVISORS, INC.
October 20, 2021	EX-99.1	Hennessy Advisors, Inc. Completes Offering of $40.25 Million 4.875% Notes Due 2026 Exhibit 99.1 Media Contact: FOR IMMEDIATE RELEASE Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 Hennessy Advisors, Inc. Completes Offering of $40.25 Million 4.875% Notes Due 2026 October 20, 2021, Novato, CA ? Hennessy Advisors, Inc. (the ?Company?) (NASDAQ: HNNA) today announced that it has closed an underwritten public offering of 4.875% unsecured notes due 2026
October 20, 2021	EX-4.2	First Supplemental Indenture, dated as of October 20, 2021, between Hennessy Advisors, Inc. and U.S. Bank National Association, as trustee. Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, Trustee Dated as of October 20, 2021 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE (this ?First Supplemental Indenture?), dated as of October 20, 2021 is between Hennessy Advisors, Inc., a California corporation (the ?Company?), and U.S. Bank National Association, a nationa
October 20, 2021	EX-4.1	Indenture, dated as of October 20, 2021, between Hennessy Advisors, Inc. and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed October 20, 2021). Exhibit 4.1 INDENTURE Dated as of October 20, 2021 between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee TABLE OF CONTENTS* Page Parties 1 Recitals 1 Article 1. Definitions 1 Section 1.01. Definitions 1 Article 2. Debt Security Forms 9 Section 2.01. Forms Generally 9 Section 2.02. Forms of Debt Securities 9 Section 2.03. Form of Trustee?s Certificate of Authentication 10 S
October 20, 2021	8-A12B	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 HENNESSY ADVISORS, INC. (Exact name of regist UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 68-0176227 (State or other jurisdiction of incorporation) (IRS Employer Identification No.) 7250 Redwood
October 20, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2021 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 001-36423 68-0176227 (State or other jurisdiction of incorporation) (Commiss
October 20, 2021	EX-99.2	UNAUDITED PRO FORMA BALANCE SHEET OF HENNESSY ADVISORS, INC. AS OF JUNE 30, 2021(1) (In thousands, except share and per share amounts) Exhibit 99.2 UNAUDITED PRO FORMA BALANCE SHEET OF HENNESSY ADVISORS, INC. AS OF JUNE 30, 2021(1) (In thousands, except share and per share amounts) June 30, June 30, ADJ FOR 2021 2021 BOND OFFERING (PROFORMA) (Unaudited) Assets Current assets Cash and cash equivalents $ 14,038 $ 38,483 $ 52,521 Investments in marketable securities, at fair value 10 - 10 Investment fee income receivable 2,821 - 2,8
October 14, 2021	FWP	HENNESSY ADVISORS, INC. 4.875% Notes Due 2026 Pricing Term Sheet October 13, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated October 13, 2021 Relating to Preliminary Prospectus dated October 12, 2021 Registration No.
October 14, 2021	424B4	$35,000,000 HENNESSY ADVISORS, INC. 4.875% Notes due 2026 TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(4) ?Registration No. 333-259750? $35,000,000 HENNESSY ADVISORS, INC. PROSPECTUS 4.875% Notes due 2026 We are a publicly traded investment management firm whose primary business activity is managing, servicing, and marketing a diverse family of open-end mutual funds branded as the Hennessy Funds to nearly 165,000 mutual fund accounts and 13,500 finan
October 14, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2021 HENNESSY ADVISORS, INC.
October 14, 2021	EX-1.1	Underwriting Agreement, dated October 13, 2021, between the Company and Oppenheimer & Co. Inc., as representative of the several underwriters named therein. Exhibit 1.1 EXECUTION VERSION HENNESSY ADVISORS, INC. $35,000,000 4.875% Notes Due 2026 UNDERWRITING AGREEMENT October 13, 2021 Oppenheimer & Co. Inc. As representative of the several Underwriters named in Schedule I c/o Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 Ladies and Gentlemen: Hennessy Advisors, Inc., a California corporation (the ?Company?), confirms with Oppenheimer
October 14, 2021	EX-99.1	Hennessy Advisors, Inc. Prices Offering of 4.875% Notes Due 2026 Exhibit 99.1 Media Contact: Teresa Nilsen Hennessy Advisors, Inc. [email protected]; 800-966-4354 FOR IMMEDIATE RELEASE Hennessy Advisors, Inc. Prices Offering of 4.875% Notes Due 2026 October 13, 2021, Novato, CA ? Hennessy Advisors, Inc. (the ?Company?) (NASDAQ: HNNA) today announced that it has priced an underwritten public offering of $35 million in aggregate principal amount of 4.875
October 12, 2021	CORRESP	hennessy advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 October 12, 2021 hennessy advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 October 12, 2021 VIA EDGAR Correspondence United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F. Street, N.E. Washington, D.C. 20549 Re: Acceleration of Effective Date Hennessey Advisors, Inc. Registration Statement on Form S-1 (File No. 333-259750) Ladies and Gen
October 12, 2021	EX-4.2	Form of Notes (included as Exhibit A to Exhibit 4.2 above) Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, Trustee Dated as of October [?], 2021 FIRST SUPPLEMENTAL INDENTURE THIS FIRST SUPPLEMENTAL INDENTURE (this ?First Supplemental Indenture?), dated as of October [?], 2021 is between Hennessy Advisors, Inc., a California corporation (the ?Company?), and U.S. Bank National Association, a natio
October 12, 2021	EX-1.1	Form of Underwriting Agreement EX-1.1 2 tm2128106d5ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 HENNESSY ADVISORS, INC. $[●] [●]% Notes Due 2026 UNDERWRITING AGREEMENT October [●], 2021 Oppenheimer & Co. Inc. As representative of the several Underwriters named in Schedule I c/o Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 Ladies and Gentlemen: Hennessy Advisors, Inc., a California corporation (the “Company”), confirms w
October 12, 2021	S-1/A	Registration Statement on Form S-1, as amended (File No. 333-259750), previously filed with the Commission and declared effective on October 13, 2021 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on October 12, 2021 Registration No.
October 12, 2021	CORRESP	hennessy advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 October 12, 2021 hennessy advisors, Inc. 7250 Redwood Blvd., Suite 200 Novato, California 94945 October 12, 2021 VIA EDGAR Correspondence United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F. Street, N.E. Washington, D.C. 20549 Re: Acceleration of Effective Date Hennessey Advisors, Inc. Registration Statement on Form S-1 (File No. 333-259750) Ladies and Gen
October 12, 2021	CORRESP	[Hennessy Advisors, Inc. Acceleration Request] VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.
October 12, 2021	EX-4.1	Form of Indenture Exhibit 4.1 INDENTURE Dated as of [], 2021 between HENNESSY ADVISORS, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee TABLE OF CONTENTS* Page Parties 1 Recitals 1 Article 1. Definitions 1 Section 1.01. Definitions 1 Article 2. Debt Security Forms 9 Section 2.01. Forms Generally 9 Section 2.02. Forms of Debt Securities 9 Section 2.03. Form of Trustee?s Certificate of Authentication 10 Section 2
October 12, 2021	EX-25.1	Form T-1 Statement of Eligibility under Trust Indenture Act of 1939 of Trustee under the Indenture Exhibit 25.1 securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer Identific
September 23, 2021	S-1	As filed with the Securities and Exchange Commission on September 23, 2021 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on September 23, 2021 Registration No.
September 23, 2021	CORRESP	* * * * ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com WRITER?S DIRECT LINE 414.319-7336 [email protected] EMAIL September 23, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. Submission of Registration Statement on Form S-1 Ladies
August 4, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ☐ TRANSITION REPORT PURSUANT TO S Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNESS
August 4, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 HENNESSY ADVISORS, INC.
August 4, 2021	EX-99.1	Hennessy Advisors, Inc. Reports 25% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports 25% Increase in Quarterly Earnings Per Share and Announces Quarterly Dividend NOVATO, Calif., Aug. 4, 2021 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its third fiscal quarter of 2021, which ended June 30, 2021. The firm also announced a quarterly dividend of $0.1375 per share to be paid on September 2, 2021, to shareholder
May 12, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 HENNESSY ADVISORS, INC.
May 12, 2021	EX-99.1	Hennessy Advisors, Inc. Reports Second Quarter Earnings and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports Second Quarter Earnings and Announces Quarterly Dividend NOVATO, Calif., May 12, 2021 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its second fiscal quarter of 2021, which ended March 31, 2021. The firm also announced a quarterly dividend of $0.1375 per share to be paid on June 4, 2021, to shareholders of record as of May 25
May 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36423 HENNES
February 22, 2021	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 HENNESSY ADVISORS, INC.
February 11, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 HENNESSY ADVISORS, INC.
February 11, 2021	10-Q	Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 11, 2021	EX-99.1	Hennessy Advisors, Inc. Reports First Quarter Earnings and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports First Quarter Earnings and Announces Quarterly Dividend NOVATO, Calif., Feb. 11, 2021 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its first fiscal quarter of 2021, which ended December 31, 2020. The firm also announced a quarterly dividend of $0.1375 per share, which will be paid on March 9, 2021, to shareholders of record
January 7, 2021	424B3	HENNESSY ADVISORS, INC. Dividend Reinvestment and Stock Purchase Plan 1,470,000 Shares of Common Stock (no par value) TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-251201 HENNESSY ADVISORS, INC. PROSPECTUS Dividend Reinvestment and Stock Purchase Plan 1,470,000 Shares of Common Stock (no par value) We offer to participants in our Dividend Reinvestment and Stock Purchase Plan an opportunity to purchase our common stock, no par value. The plan provides holders of shares of our common sto
December 29, 2020	CORRESP	- Hennessy Advisors, Inc. 7250 Redwood Blvd. Suite 200 Novato, California 94945 December 29, 2020 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. Registration Statement on Form S-3 Filed December 8, 2020, as amended on December 22, 2020 File No. 333-251201 Ladies and Gentlemen: Pursuant t
December 22, 2020	S-3/A	- S-3/A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 22, 2020 Registration No.
December 15, 2020	DEF 14A	Definitive Proxy Statement on Schedule 14A (filed December 15, 2020); DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
December 8, 2020	COVER	December 8, 2020 ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com December 8, 2020 Via EDGAR System Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. ? Registration Statement on Form S-3 Ladies and Gentlemen: On behalf of Hennessy Advisors, Inc. (the ?Company?), we are transmitting for filing u
December 8, 2020	S-3	Powers of Attorney (included in the signature page in Part II of the registration statement).** TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 8, 2020 Registration No.
December 1, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2020 HENNESSY ADVISORS, INC.
December 1, 2020	EX-99.1	Hennessy Advisors, Inc. Reports Annual Earnings Exhibit 99.1 Hennessy Advisors, Inc. Reports Annual Earnings NOVATO, Calif., Dec. 1, 2020 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for the fiscal year ended September 30, 2020. "In a year defined by a global pandemic, economic shutdowns, and a highly charged presidential election, the stock market has continued to show its resiliency and strength," said Neil Henn
December 1, 2020	EX-4.1	Exhibit 4.1 to our annual report on Form 10-K for the fiscal year ended September 30, 2020 EX-4.1 Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Hennessy Advisors, Inc. (the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, common stock, no par value per share (“Common Stock”). DESCRIPTION OF COMMON STOCK The following is a description of
December 1, 2020	10-K	Annual Report on Form 10-K for the fiscal year ended September 30, 2020 (filed December 1, 2020); Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
November 2, 2020	SC 13G	HNNA / Hennessy Advisors, Inc. / Eden Douglas Todd Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Hennessy Advisors Inc. Name of Issuer) Common Stock, no par value (Title of Class of Securities) 425885100 (CUSIP Number) Douglas Eden, 13029 Sorrento Way, Bradenton, FL 34211, (904) 891-6255 (Name, Address and Telephone Number of Person Authorized to Receive
October 30, 2020	EX-99.1	Hennessy Advisors, Inc. Announces Dividend Exhibit 99.1 Hennessy Advisors, Inc. Announces Dividend NOVATO, Calif., Oct. 30, 2020 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375 per share, which will be paid on December 2, 2020, to shareholders of record as of November 12, 2020. This quarterly dividend equates to an annualized dividend of $0.55, bringing the yiel
October 30, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2020 HENNESSY ADVISORS, INC.
August 6, 2020	10-Q	Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
August 6, 2020	EX-99.1	Hennessy Advisors, Inc. Reports Third Quarter Results and Announces Quarterly Dividend Exhibit 99.1 Hennessy Advisors, Inc. Reports Third Quarter Results and Announces Quarterly Dividend NOVATO, Calif., Aug. 6, 2020 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its third fiscal quarter of 2020, which ended June 30, 2020, and announced a quarterly dividend of $0.1375 per share, representing an annualized dividend yield of 6.7%.* The dividend will be paid o
August 6, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2020 HENNESSY ADVISORS, INC.
May 15, 2020	EX-99.1	Hennessy Advisors, Inc. Reports Second Quarter Earnings Exhibit 99.1 Hennessy Advisors, Inc. Reports Second Quarter Earnings Firm Also Announces Quarterly Dividend NOVATO, Calif., May 14, 2020 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its second fiscal quarter of 2020, which ended March 31, 2020, and announced a quarterly dividend of $0.1375 per share, which represents an annualized dividend yield of 7.1%.* The dividend
May 15, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2020 HENNESSY ADVISORS, INC.
May 14, 2020	10-Q	Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 26, 2020	8-K	Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2020 HENNESSY ADVISORS, INC.
February 12, 2020	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2020 HENNESSY ADVISORS, INC.
February 11, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2020 HENNESSY ADVISORS, INC.
February 11, 2020	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q - Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 11, 2020	EX-99.1	Hennessy Advisors, Inc. Reports First Quarter Earnings Hennessy Advisors, Inc. Reports First Quarter Earnings Firm Also Announces Quarterly Dividend NOVATO, Calif., Feb. 11, 2020 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) reported results for its first fiscal quarter of 2020, which ended December 31, 2019. The firm also announced a quarterly dividend of $0.1375 per share, which will be paid on March 6, 2020, to shareholders of record as of
December 17, 2019	424B3	Hennessy Advisors, Inc. Filed Pursuant to Rule 424(b)(3) Registration No. 333-222001 Hennessy Advisors, Inc. December 17, 2019 Supplement to the Prospectus dated January 8, 2018 This prospectus supplement supplements the prospectus dated January 8, 2018 (the “Prospectus”), relating to the Dividend Reinvestment and Stock Purchase Plan (the “Plan”) of Hennessy Advisors, Inc. (“Hennessy Advisors”) offering up to 1,550,000 s
December 16, 2019	DEF 14A	Definitive Proxy Statement on Schedule 14A (filed December 15, 2020). DEF 14A Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240.
December 3, 2019	10-K	HNNA / Hennessy Advisors, Inc. 10-K - Annual Report - 10-K 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
December 3, 2019	EX-99.1	Hennessy Advisors, Inc. Reports Annual Earnings Hennessy Advisors, Inc. Reports Annual Earnings NOVATO, Calif., Dec. 3, 2019 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for the fiscal year ended September 30, 2019. "The stock market was characterized by volatility and uncertainty during our fiscal year, even as the major market indices flirted with all-time highs. In fact, in November, all three major indices (NA
December 3, 2019	EX-4.1	Description of Securities EX-4.1 Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 3, 2019, Hennessy Advisors, Inc. (the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, common stock, no par value per share (“Common Stock”). DESCRIPTION OF COMMON STOCK The follow
December 3, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2019 HENNESSY ADVISORS, INC.
October 30, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2019 HENNESSY ADVISORS, INC.
October 30, 2019	EX-99.1	Hennessy Advisors, Inc. Announces Dividend EX-99.1 2 tm19214651ex99-1.htm EXHIBIT 99.1 Hennessy Advisors, Inc. Announces Dividend NOVATO, Calif., Oct. 30, 2019 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.1375 per share, which will be paid on December 3, 2019, to shareholders of record as of November 12, 2019. This quarterly dividend equates to an annualized divid
August 7, 2019	EX-99.1	Hennessy Advisors, Inc. Reports Third Quarter Earnings EX-99.1 2 tv527082ex99-1.htm EXHIBIT 99.1 Hennessy Advisors, Inc. Reports Third Quarter Earnings Firm Announces 25% Dividend Increase (14th Increase since IPO) NOVATO, Calif., Aug. 7, 2019 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its third fiscal quarter of 2019, which ended June 30, 2019, and also announced a quarterly dividend increase. "Actively managed U.S. mut
August 7, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2019 HENNESSY ADVISORS, INC.
August 7, 2019	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q - Quarterly Report - 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
July 19, 2019	EX-99.1	SIXTH AMENDMENT TO TERM LOAN AGREEMENT SIXTH AMENDMENT TO TERM LOAN AGREEMENT THIS SIXTH AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”) is made and entered into as of July 17, 2019 (the “Effective Date”), by and between HENNESSY ADVISORS, INC.
July 19, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2019 HENNESSY ADVISORS, INC.
May 16, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2019 HENNESSY ADVISORS, INC.
May 16, 2019	EX-99.1	Hennessy Advisors, Inc. Repurchases Shares Hennessy Advisors, Inc. Repurchases Shares NOVATO, Calif., May 16, 2019 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today repurchased 422,692 shares of its common stock at $9.50 per share in a privately negotiated transaction. This repurchase represents approximately 5.3% of shares outstanding and was made pursuant to the Company's 2010 stock buyback program. "Our Board and senior manage
May 9, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2019 HENNESSY ADVISORS, INC.
May 9, 2019	EX-99.1	FIFTH AMENDMENT TO TERM LOAN AGREEMENT FIFTH AMENDMENT TO TERM LOAN AGREEMENT THIS FIFTH AMENDMENT TO TERM LOAN AGREEMENT (this "Amendment") is made and entered into as of May 9, 2019 (the "Effective Date"), by and between HENNESSY ADVISORS, INC.
May 7, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2019 HENNESSY ADVISORS, INC.
May 7, 2019	EX-99.1	Hennessy Advisors, Inc. Reports Second Quarter Earnings of $0.37 Per Share Hennessy Advisors, Inc. Reports Second Quarter Earnings of $0.37 Per Share Firm Also Announces Quarterly Dividend NOVATO, Calif., May 7, 2019 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its second fiscal quarter of 2019, which ended March 31, 2019, and also announced a quarterly dividend. Summary Highlights (compared to the prior comparable quarter ended March 31, 201
May 7, 2019	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q Quarterly Report FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 25, 2019	EX-99.1	FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT FOURTH AMENDED AND RESTATED EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this "Agreement") is made as of February 22, 2019 (the "Effective Date"), by and between Hennessy Advisors, Inc.
February 25, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2019 HENNESSY ADVISORS, INC.
February 15, 2019	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2019 HENNESSY ADVISORS, INC.
February 12, 2019	EX-99.1	Hennessy Advisors, Inc. Reports First Quarter Earnings of $0.39 Per Share Hennessy Advisors, Inc. Reports First Quarter Earnings of $0.39 Per Share Firm Also Announces Quarterly Dividend NOVATO, Calif., Feb. 12, 2019 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) reported results for its first fiscal quarter of 2019, which ended December 31, 2018, and also announced a quarterly dividend. Summary Highlights (compared to prior comparable quarter ended December 31, 2
February 12, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2019 HENNESSY ADVISORS, INC.
February 11, 2019	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
December 19, 2018	DEF 14A	HNNA / Hennessy Advisors, Inc. DEF 14A DEF 14A Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240.
November 28, 2018	EX-99.1	Hennessy Advisors, Inc. Reports Increases in Annual Revenue, Earnings, and Net Income Hennessy Advisors, Inc. Reports Increases in Annual Revenue, Earnings, and Net Income NOVATO, Calif., Nov. 28, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for the fiscal year ended September 30, 2018. Summary Highlights for the Fiscal Year (compared to fiscal year 2017): Fully diluted earnings per share increased 35.9% to $2.61. Our effective tax rate decreased
November 28, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2018 HENNESSY ADVISORS, INC.
November 28, 2018	10-K	HNNA / Hennessy Advisors, Inc. FORM 10-K (Annual Report) Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
November 28, 2018	EX-10.15	Second Amendment to Amended and Restated Servicing Agreement, dated as of October 26, 2018, between the registrant and Hennessy Funds Trust (on behalf of all Funds) (16) EX-10.15 Exhibit 10.15 SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT THIS SECOND AMENDMENT TO AMENDED AND RESTATED SERVICING AGREEMENT (this “Amendment”) is made effective as of October 26, 2018 by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to tim
November 28, 2018	EX-10.12	Sub-Advisory Agreement, dated as of October 26, 2018, between the registrant and BP Capital Fund Advisors, LLC (for the Hennessy BP Energy Transition Fund and the Hennessy BP Midstream Fund) (incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2018 (SEC File No. 001-36423), filed November 28, 2018). EX-10.12 Exhibit 10.12 SUB-ADVISORY AGREEMENT THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into as of October 26, 2018, by and between Hennessy Advisors, Inc., a California corporation (“Manager”), and BP Capital Fund Advisors, LLC, a Delaware limited liability company (“Sub-Adviser”). RECITALS WHEREAS, Manager is registered as an investment adviser under the Investment Advis
November 28, 2018	EX-10.6	Investment Advisory Agreement, dated as of October 26, 2018, between the registrant and Hennessey Funds Trust (on behalf of the Hennessy BP Energy Transition Fund and the Hennessy BP Midstream Fund) (incorporated by reference from the Company’s Form 10-K for the fiscal year ended September 30, 2018 (SEC File No. 001-36423), filed November 28, 2018). EX-10.6 Exhibit 10.6 INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made as of October 26, 2018, by and between Hennessy Funds Trust, a Delaware statutory trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”),
October 30, 2018	EX-99.1	Hennessy Advisors, Inc. Increases Dividend 10% Hennessy Advisors, Inc. Increases Dividend 10% NOVATO, Calif., Oct. 30, 2018 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.11 per share (annualized at $0.44), which represents a 10% increase from the firm's previous quarterly dividend of $0.10 per share. The dividend will be paid on December 5, 2018, to shareholders of rec
October 30, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2018 HENNESSY ADVISORS, INC.
October 26, 2018	EX-99.1	Hennessy Advisors, Inc. Acquires the BP Capital TwinLine Funds, Completing Its Tenth Asset Purchase EX-99.1 2 tv505591ex99-1.htm EXHIBIT 99.1 Hennessy Advisors, Inc. Acquires the BP Capital TwinLine Funds, Completing Its Tenth Asset Purchase NOVATO, Calif., Oct. 26, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has completed the acquisition of assets related to the management of the BP Capital TwinLine Energy Fund and the BP Capital TwinLine MLP Fund. As a re
October 26, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2018 HENNESSY ADVISORS, INC.
September 21, 2018	EX-99.1	FOURTH AMENDMENT TO TERM LOAN AGREEMENT EXECUTION VERSION FOURTH AMENDMENT TO TERM LOAN AGREEMENT THIS FOURTH AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”) is made and entered into as of September 20, 2018 (the “Effective Date”), by and between HENNESSY ADVISORS, INC.
September 21, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2018 HENNESSY ADVISORS, INC.
August 1, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2018 HENNESSY ADVISORS, INC.
August 1, 2018	EX-99.1	Hennessy Advisors, Inc. Reports Third Quarter Earnings of $0.53 Per Share Hennessy Advisors, Inc. Reports Third Quarter Earnings of $0.53 Per Share Firm Also Announces Quarterly Dividend NOVATO, Calif., Aug. 1, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for its third fiscal quarter ended June 30, 2018, and also announced a quarterly dividend. Summary Highlights (compared to prior comparable quarter ended June 30, 2017): Fully dilute
August 1, 2018	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
July 11, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2018 HENNESSY ADVISORS, INC.
July 11, 2018	EX-99.1	Hennessy Advisors, Inc. to Acquire the BP Capital TwinLine Funds Exhibit 99.1 FOR IMMEDIATE RELEASE Media Contact: Tania Kelley Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. to Acquire the BP Capital TwinLine Funds Novato, CA – July 10, 2018 - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has signed a definitive agreement with BP Capital Fund Advisors, LLC (“BP Capital”) to purchase the assets re
July 11, 2018	EX-2.1	Transaction Agreement, dated as of July 10, 2018, between Hennessy Advisors, Inc. and BP Capital Fund Advisors, LLC Exhibit 2.1 Execution Version TRANSACTION AGREEMENT between HENNESSY ADVISORS, INC. and BP CAPITAL FUND ADVISORS, LLC July 10, 2018 TABLE OF CONTENTS ARTICLE I – DEFINED TERMS 1 ARTICLE II – PURCHASED ASSETS; PURCHASE PRICE 5 Section 2.1. Purchased Assets 5 Section 2.2. Liabilities 6 Section 2.3. Purchase Price 6 ARTICLE III – REPRESENTATIONS AND WARRANTIES OF SELLER 7 Section 3.1. Organization, S
May 2, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2018 HENNESSY ADVISORS, INC.
May 2, 2018	EX-99.1	Hennessy Advisors, Inc. Reports Second Quarter Earnings of $0.58 Per Share Hennessy Advisors, Inc. Reports Second Quarter Earnings of $0.58 Per Share Firm Also Announces Quarterly Dividend NOVATO, Calif., May 2, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for its second fiscal quarter ended March 31, 2018, and announced a quarterly dividend. Summary Highlights (compared to prior comparable quarter ended March 31, 2017): Fully diluted
May 2, 2018	EX-10.4	First Amendment to Sub-Advisory Agreement, dated as of February 28, 2018, between the registrant and SPARX Asset Management Co., Ltd. (for the Hennessy Japan Fund and the Hennessy Japan Small Cap Fund) (14) EX-10.4 Exhibit 10.4 FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT THIS FIRST AMENDMENT TO SUB-ADVISORY AGREEMENT (this “Amendment”) is made and entered into effective as of February 28, 2018, by and between Hennessy Advisors, Inc., a California corporation (“Manager”), and SPARX Asset Management Co., Ltd., a corporation organized under the laws of Japan (“Sub-Adviser”). RECITALS WHEREAS, Manager and
May 2, 2018	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
February 1, 2018	EX-24	Youâve Exceeded the SECâs Traffic Limit POWER OF ATTORNEY Know all by these presents, that, for good and valuable consideration, the sufficiency and receipt of which are hereby acknowledged, the undersigned hereby constitutes and appoints each of Daniel B.
January 30, 2018	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2018 HENNESSY ADVISORS, INC.
January 25, 2018	EX-99.1	AMENDMENT TO THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-99.1 3 cg1025ex991.htm Exhibit 99.1 AMENDMENT TO THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDMENT TO THIRD AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Amendment”), effective as of January 26, 2018, is made by and between Hennessy Advisors, Inc. (the “Company”) and Neil J. Hennessy (the “Employee”). RECITALS WHEREAS, the Company and the Employee previously entered into a Third
January 25, 2018	EX-99.2	EMPLOYMENT AGREEMENT EX-99.2 4 cg1025ex992.htm Exhibit 99.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (this “Agreement”) is made as of January 26, 2018 (the “Effective Date”), by and between Hennessy Advisors, Inc. (the “Company”) and Teresa M. Nilsen (the “Employee”). RECITALS WHEREAS, the Company desires to retain the services of the Employee, and the Employee desires to be employed by the Company, each in acco
January 25, 2018	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2018 HENNESSY ADVISORS, INC.
January 25, 2018	EX-99.3	SECOND AMENDED AND RESTATED BONUS AGREEMENT EX-99.3 5 cg1025ex993.htm Exhibit 99.3 SECOND AMENDED AND RESTATED BONUS AGREEMENT THIS SECOND AMENDED AND RESTATED BONUS AGREEMENT (this “Agreement”) is made as of January 26, 2018, by and between Hennessy Advisors, Inc., a California corporation (the “Company”), and Teresa M. Nilsen (“Executive”). BACKGROUND This Agreement amends and restates the Amended and Restated Bonus Agreement made as of O
January 25, 2018	EX-3.1	Fifth Amended and Restated Bylaws (13) EX-3.1 2 cg1025ex31.htm Exhibit 3.1 FIFTH AMENDED AND RESTATED BYLAWS OF HENNESSY ADVISORS, INC. Dated as of January 25, 2018 TABLE OF CONTENTS Page ARTICLE I OFFICES 1 Section 1. PRINCIPAL OFFICES 1 Section 2. OTHER OFFICES 1 ARTICLE II MEETINGS OF SHAREHOLDERS 1 Section 1. PLACE OF MEETINGS 1 Section 2. ANNUAL MEETING 1 Section 3. SPECIAL MEETING 1 Section 4. NOTICE OF SHAREHOLDERS’ MEETINGS 2 S
January 25, 2018	EX-99.1	Hennessy Advisors, Inc. Reports First Quarter Earnings of $1.04 Per Share EX-99.1 2 tv484062ex99-1.htm EXHIBIT 99.1 Hennessy Advisors, Inc. Reports First Quarter Earnings of $1.04 Per Share Firm Also Announces Quarterly Dividend Increase of 33% NOVATO, Calif., Jan. 25, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for its first fiscal quarter ended December 31, 2017, and announced an increased quarterly dividend. Summary Highlights Ful
January 25, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2018 HENNESSY ADVISORS, INC.
January 25, 2018	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
January 12, 2018	EX-99.1	Hennessy Advisors, Inc. Completes the Acquisition of the Rainier U.S. Equity Funds, Bringing Assets Under Management to $7.3 Billion EX-99.1 2 tv483285ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Hennessy Advisors, Inc. Completes the Acquisition of the Rainier U.S. Equity Funds, Bringing Assets Under Management to $7.3 Billion NOVATO, Calif., Jan. 12, 2018 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has completed the acquisition of assets related to the management of the Rainier Small/Mid Cap Equity Fu
January 12, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2018 HENNESSY ADVISORS, INC.
January 8, 2018	424B3	HENNESSY ADVISORS, INC. Dividend Reinvestment and Stock Purchase Plan 1,550,000 Shares of Common Stock (no par value) Filed Pursuant to Rule 424(b)(3) Registration No. 333-222001 HENNESSY ADVISORS, INC. PROSPECTUS Dividend Reinvestment and Stock Purchase Plan 1,550,000 Shares of Common Stock (no par value) We offer to participants in our Dividend Reinvestment and Stock Purchase Plan an opportunity to purchase our common stock, no par value. The plan provides holders of shares of our common stock and new investors
January 4, 2018	CORRESP	HNNA / Hennessy Advisors, Inc. ESP Hennessy Advisors, Inc. 7250 Redwood Blvd. Suite 200 Novato, California 94945 January 4, 2018 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. Registration Statement on Form S-3 Filed December 12, 2017 File No. 333-222001 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Ac
December 12, 2017	S-3	HNNA / Hennessy Advisors, Inc. S-3 tv481019-s3 - none - 1.66022s TABLE OF CONTENTS As filed with the Securities and Exchange Commission on December 12, 2017 Registration No. 333-????????? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) ? California ? ? 68-0176227
December 12, 2017	CORRESP	HNNA / Hennessy Advisors, Inc. ESP ATTORNEYS AT LAW 777 East Wisconsin Avenue Milwaukee, WI 53202-5306 414.271.2400 TEL 414.297.4900 FAX www.foley.com December 12, 2017 Via EDGAR System Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Hennessy Advisors, Inc. ? Registration Statement on Form S-3 Ladies and Gentlemen: On behalf of Hennessy Advisors, Inc. (the ?Company?), we are transmitting for filing
December 11, 2017	DEF 14A	HNNA / Hennessy Advisors, Inc. DEF 14A DEF 14A Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to ?240.
December 4, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2017 HENNESSY ADVISORS, INC.
December 4, 2017	EX-99.1	Hennessy Advisors, Inc. Reports Record Annual Earnings and Revenue Hennessy Advisors, Inc. Reports Record Annual Earnings and Revenue NOVATO, Calif., Dec. 4, 2017 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported results for the fiscal year ended September 30, 2017. Summary Highlights for the Fiscal Year: Fully diluted earnings per share of $1.92 for fiscal year 2017, an increase of 3.2% over the prior fiscal year. Revenue for the fiscal year to
December 4, 2017	10-K	HNNA / Hennessy Advisors, Inc. 10-K (Annual Report) 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
December 2, 2017	EX-99.1	THIRD AMENDMENT TO TERM LOAN AGREEMENT Exhibit 99.1 THIRD AMENDMENT TO TERM LOAN AGREEMENT THIS THIRD AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”) is made and entered into as of November 30, 2017 (the “Effective Date”), by and between HENNESSY ADVISORS, INC., a California corporation (“Borrower”), Lenders from time to time party to the Agreement (defined below), and U.S. BANK NATIONAL ASSOCIATION, a national banking association,
December 2, 2017	EX-99.2	Hennessy Advisors, Inc. Acquires Two Rainier U.S. Equity Funds EX-99.2 3 tv480654ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Hennessy Advisors, Inc. Acquires Two Rainier U.S. Equity Funds NOVATO, Calif., Dec. 1, 2017 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has completed the acquisition of assets related to the management of the Rainier Large Cap Equity Fund and the Rainier Mid Cap Equity Fund. As a result, the Rainier Large Cap
December 2, 2017	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2017 HENNESSY ADVISORS, INC.
November 20, 2017	EX-99.1	SECOND AMENDMENT TO TERM LOAN AGREEMENT EX-99.1 2 cg995991.htm EX-99.1 Exhibit 99.1 SECOND AMENDMENT TO TERM LOAN AGREEMENT THIS SECOND AMENDMENT TO TERM LOAN AGREEMENT (this “Amendment”) is made and entered into as of November 16, 2017 (the “Effective Date”), by and between HENNESSY ADVISORS, INC., a California corporation (“Borrower”), Lenders from time to time party to the Agreement (defined below), and U.S. BANK NATIONAL ASSOCIATION
November 20, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2017 HENNESSY ADVISORS, INC.
October 31, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2017 HENNESSY ADVISORS, INC.
October 31, 2017	EX-99.1	Hennessy Advisors, Inc. Announces Quarterly Dividend Hennessy Advisors, Inc. Announces Quarterly Dividend NOVATO, Calif., Oct. 31, 2017 /PRNewswire/ - The Board of Directors of Hennessy Advisors, Inc. (NASDAQ: HNNA) today declared a quarterly dividend of $0.075 per share (or an annualized rate of $0.30 per share). The dividend will be paid on December 8, 2017, to shareholders of record as of November 15, 2017. "We are pleased to announce our quarter
September 27, 2017	EX-99.1	Hennessy Advisors, Inc. Acquisition of Rainier U.S. Equity Funds – Timeline Revised FOR IMMEDIATE RELEASE Media Contact: Tania Kelley Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. Acquisition of Rainier U.S. Equity Funds ? Timeline Revised Novato, CA ? September 26, 2017 - Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that the timeline for its definitive agreement with Manning & Napier Group, LLC and Rainier Investment Man
September 27, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2017 HENNESSY ADVISORS, INC.
August 2, 2017	EX-99.1	Hennessy Advisors, Inc. Reports Third Quarter Earnings of $0.51 Per Share; Firm Also Announces Quarterly Dividend Hennessy Advisors, Inc. Reports Third Quarter Earnings of $0.51 Per Share; Firm Also Announces Quarterly Dividend NOVATO, Calif., Aug. 2, 2017 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported 2017 third quarter results for the period ending June 30, 2017. Summary Highlights Fully diluted earnings per share of $0.51 for the third fiscal quarter ended June 30, 2017, an increase of
August 2, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2017 HENNESSY ADVISORS, INC.
August 2, 2017	10-Q	HNNA / Hennessy Advisors, Inc. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
May 11, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2017 HENNESSY ADVISORS, INC.
May 11, 2017	EX-99.1	Hennessy Advisors, Inc. to Acquire the Rainier U.S. Equity Funds EXHIBIT 99.1 FOR IMMEDIATE RELEASE Media Contact: Tania Kelley Hennessy Advisors, Inc. [email protected] Phone: 800-966-4354 Hennessy Advisors, Inc. to Acquire the Rainier U.S. Equity Funds May 11, 2017, Novato, CA ? Hennessy Advisors, Inc. (NASDAQ: HNNA) today announced that it has signed a definitive agreement with Manning & Napier Group, LLC and Rainier Investment Management, LLC (?Rai
May 11, 2017	EX-2.1	Transaction Agreement, dated as of May 10, 2017, among Hennessy Advisors, Inc., Rainier Investment Management, LLC, and Manning & Napier Group, LLC. (16)* EXHIBIT 2.1 Execution Copy TRANSACTION AGREEMENT Among HENNESSY ADVISORS, INC., RAINIER INVESTMENT MANAGEMENT, LLC and MANNING & NAPIER GROUP, LLC May 10, 2017 TABLE OF CONTENTS ARTICLE I DEFINED TERMS 1 ARTICLE II PURCHASED ASSETS; PURCHASE PRICE 5 Section 2.1 Purchased Assets 5 Section 2.2 Excluded Assets 6 Section 2.3 Excluded Liabilities 6 Section 2.4 Purchase Price 6 ARTICLE III REPRESENTATIO
May 1, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2017 HENNESSY ADVISORS, INC.
May 1, 2017	EX-99.1	Hennessy Advisors, Inc. Reports Second Quarter Earnings Per Share Increase of 9%; Firm Also Announces Quarterly Dividend Hennessy Advisors, Inc. Reports Second Quarter Earnings Per Share Increase of 9%; Firm Also Announces Quarterly Dividend NOVATO, Calif., May 1, 2017 /PRNewswire/ - Hennessy Advisors, Inc. (NASDAQ:HNNA) today reported fully diluted earnings per share of $0.47 for the second fiscal quarter ended March 31, 2017, an increase of 9% over the prior comparable quarter ended March 31, 2016. Quarterly reven
May 1, 2017	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 7, 2017	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2017 HENNESSY ADVISORS, INC. (Exact name of registrant as specified in its charter) California 001-36423 68-0176227 (State or other jurisdiction of incorporation) (Commission

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