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 March 31, 2018
Filing Date: May 1, 2018
Signatory: Teresa M. Nilsen, Executive Vice President and Chief Financial Officer
This filing is a Form 13F Holdings Report, detailing the equity securities held by the institutional investment manager. It does not represent the financial performance of Hennessy Advisors Inc. itself, but rather the assets under management reported for regulatory compliance.
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. The following metrics relate to the reported portfolio:
- Total Value of Reported Holdings: $2,975,843,000 (2,975,843 thousands)
- Total Number of Holdings Entries: 342
- Other Included Managers: 0
Note: Revenue, profit, cash flow, margins, debt, and liquidity metrics for Hennessy Advisors Inc. are not provided in this filing type.
Material Changes
The filing text does not provide comparative data for the prior period (December 31, 2017) within the summary section. Therefore, material changes in total portfolio value or specific holdings cannot be determined from the provided text alone.
Guidance, Outlook, and Risks
Form 13F filings are historical reports of holdings and do not contain management guidance, future outlook, risk factors, or commentary on contingencies. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total portfolio value of approximately $2.98 billion against the firm's latest 10-K or 10-Q for context on Assets Under Management (AUM).
- Review the full Schedule 13F (not included in this summary) to analyze the top 10 holdings and sector allocation.
- Confirm if the 342 entries represent long-only positions or if short positions are excluded (Form 13F typically reports long positions only).
- Check subsequent filings to track changes in the portfolio composition relative to the March 31, 2018 snapshot.