Welcome to our dedicated page for HENNESSY ADVISORS SEC filings (Ticker: HNNA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Hennessy Advisors, Inc. filings document material-event reporting for an investment management company whose business centers on advisory and shareholder services for the Hennessy Funds. Recent 8-K disclosures cover operating and financial results, Regulation FD announcements, cash dividends on common stock, and exhibits containing related press releases.
The company's regulatory filings also record shareholder voting matters and governance actions, including annual meeting results, director elections, advisory compensation votes, and vote-frequency recommendations. Capital-structure disclosures include common stock dividend reporting and the listed 4.875% Notes due 2026.
Hennessy Advisors, Inc. reported results for its third fiscal quarter ended June 30, 2026. Total revenue was $8,390,476, up 4.2% from $8,054,259 in the prior-year quarter, driven by a 4.0% increase in average assets under management to $4,261,027,927. Net income was $1,999,148 compared with $2,120,934, and diluted earnings per share were $0.25 versus $0.26.
The company redeemed notes payable of $40.25 million six months ahead of the December 31, 2026 maturity, which reduced current-quarter earnings through accelerated financing costs. As of June 30, 2026, cash and cash equivalents net of gross debt were $35,350,689, up 17.6% from $30,069,042, and total assets under management were $4,390,624,761. The board declared a $0.15 per share quarterly cash dividend, payable September 3, 2026 to shareholders of record on August 20, 2026; this represents an annualized dividend yield of 6.1%.
Hennessy Advisors reported revenue of $8.4 million for the three months and $24.8 million for the nine months ended June 30, 2026, with nine‑month revenue down 8.1% from $27.0 million a year earlier as average assets under management declined.
Nine‑month net income fell 22.5% to $5.8 million, and diluted EPS decreased to $0.73 from $0.95. For the quarter, revenue grew 4.2% but net income slipped to $2.0 million, partly reflecting higher interest expense from debt redemption.
Assets under management were $4.4 billion at June 30, 2026, up 2.6% year over year as $566.9 million of market appreciation offset net outflows. Average AUM for the nine months was $4.2 billion, down 7.8%. The company fully redeemed $40.25 million of 4.875% notes on June 30, 2026, ending the period with $35.4 million in cash and no debt, and paid cash dividends totaling $0.44 per share year to date.
Hennessy Advisors Inc. reports institutional equity holdings in a Form 13F Holdings Report. The report lists 325 reportable positions with a combined Form 13F Information Table Value Total of 3,128,618,298 dollars. There are 0 other included managers associated with this report.
Hennessy Advisors Inc. has a class of debt securities, its 4.875% Notes due 2026, removed from listing and/or registration on the Nasdaq Stock Market. Nasdaq certified compliance with rules to strike the notes and Hennessy Advisors certified compliance with voluntary withdrawal requirements under Section 12(b).
Hennessy Advisors, Inc. is fully redeeming its outstanding 4.875% notes due 2026, with an aggregate principal amount of $40.25 million. The company has delivered a notice of full redemption to the trustee under the indenture governing these notes.
The notes, which trade on Nasdaq under the symbol HNNAZ, are scheduled to be redeemed on June 30, 2026 at a price equal to 100% of their outstanding principal, plus accrued and unpaid interest to, but not including, the redemption date. After this redemption is completed, no notes will remain outstanding and they will be delisted from The Nasdaq Stock Market.
Hennessy Advisors Inc. senior vice president and CFO Kathryn Fahy reported an open-market sale of 10,000 shares of Common Stock at $10.0000 per share. After this transaction, she directly holds 60,688.93 shares. This filing shows a single sale with no accompanying option exercises or derivative positions.
Charles Schwab Corp. reports a sale of 10,000 common shares on Form 144 for Nasdaq-listed common stock. The filing lists multiple tranches of vested RSAs with grant/vest dates of 09/12/2021 (1,158), 09/18/2021 (2,323), 09/06/2022 (1,498), and 09/22/2025 (5,225) as securities to be sold.
The filing shows an address for the issuer and an item dated 05/11/2026. The filing format indicates these vested restricted stock awards are the source of the shares being offered for sale.
Hennessy Advisors, Inc. reported softer results for the quarter and six months ended March 31, 2026 as lower assets under management reduced fee income. For the six-month period, total revenue was $16.5 million, down from $19.0 million, while net income declined to $3.8 million from $5.4 million. Average assets under management fell 12.9% year over year to $4.2 billion, and period-end assets under management were $3.9 billion, down 7.8%. Operating expenses declined in dollars but rose as a percentage of revenue, pressuring margins. The company ended the period with $73.1 million in cash and cash equivalents and carries 4.875% Notes due 2026 with $40.25 million principal outstanding, while continuing regular dividends of $0.15 per share in the most recent quarter.
Hennessy Advisors, Inc. reported second fiscal quarter results for the period ended March 31, 2026 and declared a quarterly cash dividend. Total revenue was $8.1 million, down 12% from the prior-year quarter, while net income was $1.9 million, a 26% decline. Diluted earnings per share were $0.24, down 27%.
Average assets under management were $4.2 billion, 12% lower than a year earlier, and total assets under management were $3.9 billion, down 8%. Cash and cash equivalents net of gross debt were $32.8 million, up 20%. The company declared a $0.15 quarterly dividend per share, representing a stated annualized yield of 6.0%, payable on June 4, 2026 to shareholders of record on May 21, 2026.
HENNESSY ADVISORS INC filed a Form 13F reporting institutional holdings totaling $2,769,080,087 across 278 reported positions. The report is signed by Teresa M. Nilsen, President and Chief Operating Officer, with a signature date of 04-16-2026.