HENNESSY ADVISORS INC — Earnings Release 2010

Dec 3, 2010

8-K/A 1 d8ka.htm AMENDMENT NO.1 TO FORM 8-K Amendment No.1 to Form 8-K

SECURITIES AND EXCHANGE COMMISSION

UNITED STATES

Washington, DC 20549

FORM 8-K/A

Amendment No. 1

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) December 3, 2010

HENNESSY ADVISORS, INC.

(Exact name of registrant as specified in its charter)

California	000-49872	68-0176227
(State or other jurisdiction of incorporation)	Commission File Number)	(IRS Employer Identification No.)
7250 Redwood Blvd., Suite 200 Novato, California		94945
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number including area code: (415) 899-1555

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230 .425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Explanatory Note

This amended Form 8-K is being filed to correct the financial highlights table in the attached press release. Otherwise the filing remains unchanged. Set forth below is the amended Form 8-K:

Item 2.02 Results of Operations and Financial Condition

The registrant has issued an earnings release for the fiscal year ended September 30, 2010, which is included herein as Exhibit 99.1.

Item 9.01 Financial Statements and Exhibits

The following exhibit is attached to this Current Report on Form 8-K.

Exhibit 99.1 Earnings release issued December 3, 2010, by Hennessy Advisors, Inc., for the fiscal year ended September 30, 2010.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

/s/ Neil J. Hennessy
Neil J. Hennessy
President

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EXHIBIT INDEX

Exhibit 99.1 Earnings release issued December 3, 2010, by Hennessy Advisors, Inc., for the fiscal year ended September 30, 2010.

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