HENNESSY ADVISORS INC — Earnings Release 2016

May 4, 2016

8-K 1 v438923_8k.htm FORM 8-K

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 4, 2016

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HENNESSY ADVISORS, INC.

(Exact name of registrant as specified in its charter)

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California	001-36423	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))

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Item 2.02. Results of Operations and Financial Condition

On May 4, 2016, Hennessy Advisors, Inc. issued a press release announcing its financial results for the second quarter ended March 31, 2016. A copy of the press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein.

Item 7.01. Regulation FD Disclosure

On May 4, 2016, Hennessy Advisors, Inc. issued a press release announcing that it had declared a cash dividend of $0.08 per share on its common stock, payable June 13, 2016, to shareholders of record at the close of business on May 19, 2016. A copy of the press release is being furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein.

Item 9.01. Financial Statements and Exhibits

Exhibit	Description
99.1	Press release issued May 4, 2016, by Hennessy Advisors, Inc. announcing financial results for the fiscal quarter ended March 31, 2016, and declaration of a cash dividend.

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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 and CEO

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HENNESSY ADVISORS, INC.

Exhibit Index to Current Report on Form 8-K dated May 4, 2016

Exhibit	Description
99.1	Press release issued May 4, 2016, by Hennessy Advisors, Inc. announcing financial results for the fiscal quarter ended March 31, 2016, and declaration of a cash dividend.

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