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, 2017
Filing Date: April 27, 2017
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 restatement or an amendment adding new entries.
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 itself. The following metrics relate to the reported portfolio:
- Total Portfolio Value: $3,400,657,000 (3,400,657 thousands)
- Total Number of Holdings: 287 entries
- Other Included Managers: 0
Note: The filing text does not provide data on the firm's revenue, profit, margins, debt, or liquidity.
Material Changes
The filing text does not provide comparative data for the prior period (December 31, 2016) or detail specific material changes in holdings, such as purchases or sales, within the summary section provided.
Guidance, Outlook, and Risks
Guidance and Outlook: Not applicable. Form 13F filings are historical disclosures of holdings and do not contain forward-looking guidance or management commentary on market outlook.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness and that readers should not assume the information is accurate or complete.
Key Facts for Investor Verification
- Verify the total reported value of $3.4 billion against the firm's total assets under management (AUM) to determine if this report covers all accounts or only a subset.
- Confirm the specific list of 287 holdings in the full schedule to analyze sector concentration and top positions.
- Note that this report reflects positions as of March 31, 2017, and does not reflect subsequent trading activity.
- Ensure the signatory, Teresa M. Nilsen, is currently authorized to represent the firm.