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 September 30, 2017
Filing Date: November 2, 2017
Signatory: Teresa M. Nilsen, Executive Vice President and Chief Financial Officer
This filing is a Form 13F Holdings Report, disclosing the equity securities held by the institutional investment manager. It does not contain financial statements regarding the manager's own operating performance.
Key Financial Metrics
As this is a holdings disclosure form, the filing does not report revenue, profit, cash flow, margins, debt, or liquidity for Hennessy Advisors Inc. Instead, it reports the aggregate value of managed assets disclosed in this specific filing.
| Metric | Value |
|---|---|
| Total Number of Holdings Reported | 284 |
| Total Value of Reported Holdings | $3,226,647,000 |
| Number of Other Included Managers | 0 |
Material Changes
The filing text provided does not contain comparative data for the prior period (June 30, 2017) or a breakdown of purchases and sales. Therefore, material changes in holdings versus the prior comparable period cannot be determined from this summary.
Guidance, Outlook, and Risks
The filing contains no management commentary, forward-looking guidance, or specific risk factors related to the manager's operations. The standard SEC disclaimer notes that the Commission has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total value of reported holdings ($3.23 billion) against the firm's total Assets Under Management (AUM) to determine if this filing represents all managed assets or a subset.
- Review the full Schedule 13F (not included in this text) to analyze specific security positions and concentration risks.
- Confirm if the "0" other included managers indicates this is a standalone report or if other related entities file separately.
- Note that this document does not reflect the financial health of Hennessy Advisors Inc. itself, only the portfolio it manages.