SEC Filing Summary: Form 13F-HR
Business Context and Reporting Period
Reporting Manager: HENNESSY ADVISORS INC
Reporting Period: Quarter ended March 31, 2014
Filing Date: April 24, 2014
Location: Novato, CA
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 contain financial statements regarding the manager's own operations.
Key Financial Metrics
As this is a holdings report rather than a financial statement, standard corporate metrics such as revenue, profit, cash flow, margins, and debt are not applicable. The filing provides the following aggregate portfolio data:
- Total Value of Reported Holdings: $2,698,716,000 (2,698,716 thousands)
- Total Number of Holdings Entries: 307
- Other Included Managers: 0
Material Changes
The filing text does not provide comparative data for the prior period (December 31, 2013) within this summary page. Therefore, material changes in portfolio value or composition versus the prior comparable period cannot be determined from the provided text.
Guidance, Outlook, and Risks
Form 13F filings are statutory disclosures of holdings and do not contain management commentary, future guidance, outlook, or risk factors regarding the manager's business strategy. 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 $2.7 billion against the manager's latest 10-K or 10-Q filings for consistency.
- Review the full Schedule 13F (not included in this summary) to analyze specific security positions and trading activity.
- Confirm the identity of the signatory, Teresa M. Nilsen, and her authority to file on behalf of Hennessy Advisors Inc.
- Note that this report covers only the quarter ended March 31, 2014, and does not reflect subsequent trading activity.