SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
Reporting Manager: HENNESSY ADVISORS INC
Address: 7250 Redwood Blvd. Suite 200, Novato, CA 94945
Reporting Period: Quarter ended March 31, 2021
Filing Date: April 19, 2021
Signatory: Teresa M. Nilsen (President, Chief Operating Officer and Secretary)
This filing is a Form 13F Holdings Report, disclosing the equity securities held by the institutional investment manager. It is not a restatement or an amendment adding new holdings.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than the operating financials (revenue, profit, cash flow) of the manager itself. The following metrics relate to the reported portfolio:
- Total Portfolio Value: $1,719,130,000 (1,719,130 thousands)
- Total Number of Holdings: 266 entries
- Other Included Managers: 0
Note: The filing text does not provide data on the manager's revenue, profit, margins, debt, or liquidity.
Material Changes
The filing text does not provide comparative data for the prior period (December 31, 2020) or detail specific material changes in holdings, such as purchases or sales, within the summary section provided.
Guidance, Outlook, and Risks
Management Commentary: None provided in this filing type.
Guidance/Outlook: Not applicable for Form 13F.
Risks/Contingencies: The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness and that readers should not assume the information is accurate or complete.
Key Facts for Investor Verification
- Verify the total portfolio value of approximately $1.72 billion against the manager's total assets under management (AUM) to determine if this report covers all accounts.
- Confirm the specific equity positions within the 266 reported entries to assess sector concentration.
- Note that this report covers only the quarter ended March 31, 2021, and does not reflect subsequent trading activity.
- Ensure the signatory, Teresa M. Nilsen, remains the authorized representative for the firm.