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, 2013
Filing Date: January 15, 2014
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 is not a financial statement of the manager's own operating performance.
Key Financial Metrics
As this is a holdings report, the filing does not contain revenue, profit, cash flow, margins, debt, or liquidity metrics for Hennessy Advisors Inc. Instead, it reports the aggregate value of securities managed.
| Metric | Value |
|---|---|
| Total Number of Holdings (Entries) | 323 |
| Total Value of Reported Holdings | $2,450,773,000 |
| Other Included Managers | 0 |
Material Changes
The filing text provided does not contain comparative data for the prior period (September 30, 2013) or a breakdown of purchases and sales. Therefore, material changes in portfolio composition or total value versus the prior comparable period cannot be determined from this document alone.
Guidance, Outlook, and Risks
The filing contains no management commentary, forward-looking guidance, or specific risk disclosures regarding the portfolio's future performance. The document includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Verify the total value of holdings ($2.45 billion) against the firm's latest 10-K or 10-Q to understand the proportion of assets under management (AUM) represented by these equity holdings.
- Review the full Schedule 13F (not included in this summary) to identify the top 10 specific equity positions and sector allocations.
- Confirm if the 323 entries represent the entire equity portfolio or if other asset classes (fixed income, private equity) are excluded from this report.
- Check subsequent filings (Q1 2014) to analyze turnover and trading activity relative to this baseline.