Hennessy Advisors Inc. 

CA

  SEC # 1145255

        

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959  SEC Filings   from  8/6/01  to  4/15/24  (Last Week)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-HR’ — Quarterly Holdings and Combination Report by a Money Manager — Form 13F — for 3/31/24 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Hennessy Advisors Inc.

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Forms , Documents & Exhibits  in  451 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
4/15/24			13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F    — Assets Under Management	100
2/23/24			8-K		Update:		Current Reports — Form 8-K — Press Releases & Conference Calls  — Financial Reports	181
					8-K Items:
10/20/21	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	20
3/26/20	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	1
10/26/18	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	11
2/8/24			"			•	Results of Operations and Financial Condition — Item 2.02 — Financial Reports	78
10/20/21	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	5
10/28/10	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	4
12/8/22	OLD		Governance & Management:			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers	13
1/25/18	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	4
12/9/04	OLD		"			•	Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ↓‘EX-14’	1
2/9/24			"			•	Submission of Matters to a Vote of Security Holders — Item 5.07	13
2/8/24			Disclosures:			•	Regulation FD Disclosure — Item 7.01 — ↓‘EX-99’	66
2/23/24			Events:			•	Other Events — Item 8.01	15
2/23/24			Financials:			•	Financial Statements and Exhibits — Item 9.01 — Financial Reports	154
2/9/24			S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8	3
2/8/24			10-Q		Update:		Quarterly Reports — Form 10-Q — Financial Reports	53
1/9/24			EFFECT		SEC:		SEC Notices of Effectiveness	5
1/5/24			424B3		Registration:		Prospectuses – New Facts or Events	6
1/3/24			CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC	10
12/13/23			DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A	23
12/8/23			S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3	5
12/6/23			10-K		Update:		Annual Reports — Form 10-K — Financial Reports	17
3/31/23	OLD		40-APP		Registration:		Applications for Exemption Orders and Other Relief by Investment Companies  OLD	4
10/21/21	OLD		CERT		Trading:		Certification by a Securities Exchange Approving a Listing — Form CERT  OLD	1
10/20/21	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	2
10/14/21	OLD		424B4		Registration:		Prospectus – Info Previously Omitted & New Facts or Events  OLD	1
10/14/21	OLD		FWP		Registration:		Prospectus – Free Writing  OLD	1
10/12/21	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD	5
9/25/15	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	3
4/24/14	OLD		CERTNAS		Trading:		Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD	1
6/24/09	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Material — Schedule 14A  OLD	1
12/7/06	OLD		10KSB		Update:		Annual and Annual-Transition Reports by Small Businesses (Optional Form) — Form 10-KSB  OLD	5
7/28/06	OLD		10QSB		Update:		Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form) — Form 10-QSB  OLD	16
10/11/05	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD	2
11/22/02	OLD		SB-2		Registration:		Registration Statements by Small-Business Issuers (Optional Form) — Form SB-2  OLD	5
6/18/02	OLD		8-A12G		Registration:		Registration Statement for a Class of Securities — Form 8-A  OLD	1
					Letters:
12/8/20	OLD		COVER		Comment-Response or Cover Letter to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC			1
					Form-Specific Documents:
4/15/24			INFO-TABLE		Portfolio Securities Holdings – Info Tables — Form 13F    — Assets Under Management			45
					General Exhibits:
2/9/24			EX-23		Consents of Experts and Counsel			55
2/9/24			EX-FILING FEES		Filing Fees			2
2/9/24			EX-5		Opinions of Counsel re: Legality			11
2/8/24			EX-10		Material Contracts			71
12/6/23			EX-97		Clawback Policy re: Recovery of Erroneously Awarded Compensation			1
11/24/21	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			9
10/14/21	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			3
10/12/21	OLD		EX-25		Statement of Eligibility to Act as a Trustee  OLD			1
7/11/18	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			10
1/25/18	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			8
12/9/04	OLD		EX-14		Codes of Ethics  OLD			2
					Additional Exhibits:
2/23/24			EX-99		Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls			176
					Financials:
2/23/24			XML  &  R#		IDEA Financial Reports Info — Financial Reports			2,244
2/23/24			EXCEL		IDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports			84
2/23/24			EX-101.*		XBRL Data  (XBRL Files)			399
2/23/24			JSON		XBRL Instances as JavaScript Object Notation Data  (JSON Files)			36
2/23/24			ZIP		XBRL Zipped Folders   (Folders of XBRL Files)			77
2/8/24			EX-31		Certifications — §302 – SOA’02			168
2/8/24			EX-32		Certifications — §906 – SOA’02			168
10/28/10	OLD		EX-16		Letters re: Changes in Accountants  OLD			5
					Graphics:
2/23/24			GRAPHIC		Photos, Images and Graphs			257

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

As Of			Quarter (Ended)		Holdings Form 13F				Assets (Millions)		Reporting Manager Manager with whom Investment Discretion is Shared
2/21/24			9/30/23		35	of	2,739		$41,804		GA	Vident Advisory, LLC
8/11/23			6/30/23		35	of	2,724		$46		GA	Vident Investment Advisory, LLC

Forms , Documents & Exhibits  in  512 Filings  Filed re:  Issuer / Subject Company

        

List all Money Managers that own this Security Issuer:  CUSIP 425885

        

Latest Filing			Type		Category	Description		Documents
12/26/23			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	470
12/1/22	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	14
4/12/22	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	14
10/14/21	OLD		FWP		Registration:		Prospectus – Free Writing  OLD	1
10/20/15	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	2
9/25/15	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	3
11/14/13	OLD		5		Ownership:		Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD	1
					Letters:
12/13/23			LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ] — All Correspondence with the SEC			7
12/13/23			TEXT-EXTRACT		Comment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]			3
					General Exhibits:
12/21/23			EX-24		Powers of Attorney			11
					Additional Exhibits:
8/20/15	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			8
					Graphics:
12/1/22	OLD		GRAPHIC		Photos, Images and Graphs  OLD			12

        

Filings History

Year		# of Filings
2024		11
2023		56
2022		52
2021		66
2020		52
2019		55
2018		54
2017		50
2016		55
2015		60
2014		53
2013		49
2012		21
2011		21
2010		32
2009		27
2008		34
2007		46
2006		47
2005		36
2004		26
2003		26
2002		21
2001		9