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, 2018
Filing Date: January 14, 2019
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
Note: As a Form 13F filing, this document reports portfolio holdings rather than the operating financials (revenue, profit, cash flow) of the management firm itself.
| Metric | Value |
|---|---|
| Total Value of Reported Holdings | $2,037,121,000 (2,037,121 thousands) |
| Total Number of Holdings Entries | 272 |
| Number of Other Included Managers | 0 |
Material Changes
The filing text does not provide comparative data for the prior period (e.g., Q3 2018) to calculate material changes in total portfolio value or specific holdings. The document serves as a snapshot of holdings as of the period end.
Guidance, Outlook, and Risks
Management Commentary: None provided in this filing type.
Guidance/Outlook: Not applicable.
Risks/Contingencies: The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness. No specific risk factors regarding the portfolio or the firm are detailed in this summary page.
Key Facts for Investor Verification
- Verify the total portfolio value of approximately $2.04 billion against the firm's total assets under management (AUM) to determine if this report covers all managed accounts.
- Confirm the list of 272 specific holdings in the full schedule to analyze sector concentration and top positions.
- Note that this filing reflects positions as of December 31, 2018, and does not include subsequent trading activity.
- Check for any amendments filed after January 14, 2019, which might correct or update these holdings.