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, 2016
Filing Date: January 17, 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 does not contain financial statements regarding the manager's own operations (revenue, profit, or cash flow).
Key Financial Metrics
As this is a portfolio disclosure filing (Form 13F) rather than a financial statement (e.g., 10-K or 10-Q), the filing does not provide data on the manager's revenue, profit, margins, debt, or liquidity. The following metrics relate to the portfolio holdings managed by the firm:
- Total Value of Reported Holdings: $3,371,419,000 (3,371,419 thousands)
- Total Number of Holdings Entries: 274
- Other Included Managers: 0
Material Changes
The filing text provided does not contain comparative data for the prior period (September 30, 2016) or a schedule of changes. Therefore, material changes in holdings versus the prior comparable period cannot be determined from this document alone.
Guidance, Outlook, and Risks
Guidance and Outlook: Not applicable. Form 13F filings are historical disclosures of holdings and do not include 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 portfolio value of approximately $3.37 billion against the firm's latest 10-K or 10-Q to understand assets under management (AUM) context.
- Confirm the specific composition of the 274 holdings by reviewing the full Schedule 13F-HR (not included in this summary text) to assess sector concentration.
- Note that this filing covers only equity securities; it does not disclose derivatives, fixed income, or cash positions.
- Check for any subsequent amendments filed after January 17, 2017, which may alter the reported holdings.