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, 2015
Filing Date: October 19, 2015
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 does not represent the financial performance of Hennessy Advisors Inc. itself, but rather the assets under management reported for regulatory compliance.
Key Financial Metrics
The filing provides aggregate data regarding the portfolio holdings rather than corporate financial statements (revenue, profit, cash flow, or debt).
| Metric | Value |
|---|---|
| Total Number of Holdings Reported | 282 |
| Total Value of Reported Holdings | $3,324,312,000 (3,324,312 thousands) |
| Number of Other Included Managers | 0 |
Note: The filing text does not provide values for revenue, profit, cash flow, margins, debt, or liquidity as this is a portfolio disclosure form, not a corporate earnings report.
Material Changes
The filing text does not provide comparative data for the prior period (June 30, 2015) or detail specific material changes in holdings, turnover, or asset allocation. The document serves as a snapshot of holdings at the end of the reporting period.
Guidance, Outlook, and Risks
Management Commentary: None provided in this filing.
Guidance/Outlook: Not applicable for Form 13F.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information and has not determined if it is accurate or complete. Readers should not assume the information is accurate or complete.
Key Facts for Investor Verification
- Portfolio Size: Verify the total reported value of approximately $3.32 billion against other sources to confirm asset under management levels.
- Holdings Count: Confirm the diversification level based on the 282 reported entries.
- Scope of Report: Ensure this report covers all holdings, as indicated by the "13F HOLDINGS REPORT" selection and "NONE" listed for other included managers.
- Signatory Authority: Verify the authorization of Teresa M. Nilsen as the signatory for this period.