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, 2020
Filing Date: October 15, 2020
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 an amendment or a restatement.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than the operating financials (revenue, profit, cash flow) of the management firm itself. The following metrics relate to the reported portfolio:
- Total Portfolio Value: $1,437,382,000 (1,437,382 thousands)
- Total Number of Holdings: 259 entries
- 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, 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 $1.44 billion against the firm's total assets under management (AUM) to determine the scope of reported holdings.
- Confirm the 259 reported holdings represent the complete equity portfolio or if other accounts are managed separately.
- Note that this filing discloses long positions in equity securities only; it does not disclose short positions, derivatives, or fixed income holdings.
- Review the full schedule of holdings (not included in this summary text) to identify top concentration risks.