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HENNESSY ADVISORS INC — Investor Relations & Filings

Ticker · HNNA ISIN · US4258851009 LEI · 549300OM5HCSFZO7FR31 US Financial and insurance activities
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Filings indexed 1,004 across all filing types
Latest filing 2021-10-14 Regulatory Filings
Country US United States of America
Listing US HNNA

About HENNESSY ADVISORS INC

https://www.hennessyadvisors.com/

Hennessy Advisors, Inc. is a publicly traded investment management firm that oversees, services, and markets the Hennessy Funds, a family of open-end mutual funds. The firm provides a broad range of investment strategies across its portfolios, which include domestic equity, multi-asset, balanced, fixed income, and various sector and specialty funds. Operating as an SEC-registered investment advisor since 1990, the company is committed to a shareholder-first philosophy. Hennessy Advisors launched its first mutual fund in 1996.

Recent filings

Filing Released Lang Actions
Regulatory Filings 2021
Regulatory Filings
2021-10-14 English
Capital/Financing Update 2021
Capital/Financing Update Classification · 95% confidence The document is a letter addressed to the SEC regarding a Registration Statement on Form S-1, specifically requesting acceleration of the effective date of the registration statement. It includes details about the preliminary prospectus distribution and compliance with securities regulations. This is a communication related to capital raising and securities offering, not a financial report or earnings release. The content aligns with updates on company fundraising and capital structure changes. Therefore, the document fits best under Capital/Financing Update (CAP). The document length is short and is a formal letter, not a full report or prospectus itself.
2021-10-12 English
Regulatory Filings 2021
Regulatory Filings Classification · 95% confidence The document is a correspondence letter addressed to the SEC regarding a Registration Statement on Form S-1. It requests acceleration of the effectiveness date of the Registration Statement. The content is procedural and related to regulatory filing processes rather than a financial report or announcement of results. The document length is short (1331 characters), and it is a formal communication about regulatory compliance and filing status. Therefore, it fits best under Regulatory Filings (RNS), which covers general regulatory announcements and compliance documents that do not fit other categories.
2021-10-12 English
Regulatory Filings 2021
Regulatory Filings Classification · 100% confidence The document is a correspondence letter addressed to the SEC regarding a Registration Statement on Form S-1. It requests acceleration of the effective date of the Registration Statement under the Securities Act. The content is a formal communication about a regulatory filing process rather than a financial report, presentation, or announcement of voting results. The document length is short (1188 characters), and it is clearly a regulatory correspondence related to securities registration. Therefore, it fits best under Regulatory Filings (RNS).
2021-10-12 English
Regulatory Filings 2021
Regulatory Filings
2021-10-12 English
S-1/A
Capital/Financing Update Classification · 100% confidence The document is an Amendment No. 1 to a Form S-1 Registration Statement filed with the SEC by Hennessy Advisors, Inc. The Form S-1 is a registration statement used for initial public offerings or other securities offerings under the Securities Act of 1933. The document includes detailed information about the offering, the company, risk factors, use of proceeds, capitalization, description of the notes, underwriting, legal matters, and exhibits. It is not a financial report like an annual or quarterly report, nor is it a transcript, proxy, or governance document. It is a capital markets filing related to a securities offering. Therefore, the appropriate classification is Capital/Financing Update (CAP). The document length is substantial (15,000 characters), and it contains the full registration statement amendment, not just an announcement of a filing, so it is not RPA or RNS.
2021-10-12 English

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