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, 2021
Filing Date: October 11, 2021
Signatory: Teresa M. Nilsen, President and Chief Operating 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 manager itself. The filing provides the following aggregate portfolio data:
- Total Value of Reported Holdings: $1,675,569,000 (1,675,569 thousands)
- Total Number of Holdings Entries: 269
- 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 a comparative table or narrative detailing material changes in holdings versus the prior comparable period (June 30, 2021). Investors must compare the specific security entries in the full schedule against the previous quarter's filing to determine changes.
Guidance, Outlook, and Risks
Guidance and Outlook: The filing text does not contain management commentary, forward-looking guidance, or strategic outlook.
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 $1.68 billion against the manager's total assets under management (AUM) to determine if this report covers all holdings.
- Confirm the list of 269 specific equity positions to analyze sector concentration and top holdings.
- Compare the current quarter's holdings against the Q2 2021 filing to identify significant buys or sells.
- Note that this report covers only equity securities; it does not disclose derivatives, fixed income, or cash positions.