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, 2014
Filing Date: October 16, 2014
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 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 financial performance (revenue, profit, cash flow) of the management firm itself. The filing provides the following aggregate portfolio data:
- Total Value of Reported Holdings: $3,343,110,000 (3,343,110 thousands)
- Total Number of Holdings Entries: 290
- Other Included Managers: 0
Note: The filing text does not provide data on the firm's revenue, profit margins, debt, or liquidity.
Material Changes
The filing text does not provide comparative data for the prior period (June 30, 2014) or detail specific material changes in holdings. It only presents the snapshot of holdings as of September 30, 2014.
Guidance, Outlook, and Risks
Guidance and Outlook: The filing text does not contain management commentary, future guidance, or outlook statements.
Risks and Contingencies: The filing includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness and that readers should not assume the information is accurate or complete. No specific business risks or contingencies are detailed in this summary page.
Key Facts for Investor Verification
- Verify the total portfolio value of approximately $3.34 billion against the firm's total assets under management (AUM) to determine if this report covers all managed accounts.
- Confirm the specific composition of the 290 reported holdings, as the summary page does not list individual securities.
- Note that this report covers only equity securities; it does not disclose derivatives, fixed income, or cash positions.
- Check for subsequent filings to track changes in the portfolio composition following the September 30, 2014 period.