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 December 31, 2020
Filing Date: January 24, 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 financial statement of the manager's own operating performance.
Key Financial Metrics
As a Form 13F filing, this document reports portfolio holdings rather than the operating financials (revenue, profit, cash flow) of the investment manager itself. The following metrics relate to the reported portfolio:
- Total Portfolio Value: $1,556,982,000 (1,556,982 thousands)
- Total Number of Holdings: 262 entries
- Other Included Managers: 0
Note: Revenue, profit, margins, debt, and liquidity metrics for Hennessy Advisors Inc. are not provided in this filing.
Material Changes
The filing text does not provide comparative data for the prior period (e.g., Q3 2020) to calculate material changes in portfolio value or composition. The document lists the holdings as of the period end but does not explicitly detail additions or deletions versus the previous quarter in the summary section.
Guidance, Outlook, and Risks
Management Commentary: None provided in this filing format.
Guidance/Outlook: Not applicable for a 13F-HR filing.
Risks/Contingencies: The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness. No specific risk factors or contingencies regarding the portfolio are detailed in the provided text.
Key Facts for Investor Verification
- Verify the total portfolio value of approximately $1.56 billion against the manager's total assets under management (AUM) to determine if this report covers all managed accounts.
- Confirm the list of 262 holdings to identify top sector concentrations and individual position sizes.
- Note that this filing reflects holdings as of December 31, 2020, and does not reflect subsequent trading activity.
- Understand that this document does not disclose the financial health, revenue, or expenses of Hennessy Advisors Inc. itself.