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 (HNNA) reported insider equity activity by Kathryn Fahy, its SVP and CFO. On September 18, 2026, she received a grant of 12,500 shares of common stock in the form of stock units that will vest 25% per year beginning on September 18, 2027. On the same date, 4,258 shares of common stock were delivered or withheld at $10.38 per share for payment of exercise price or tax liability. No Rule 10b5-1 trading plan is reported.
HENNESSY ADVISORS INC (HNNA) director Henry Hansel reported an acquisition of 5,600 shares of Common Stock on September 18, 2026 as a grant or award at a stated price of $0.00 per share. According to the disclosure, these 5,600 shares are underlying stock units that will vest 25% per year beginning on September 18, 2027, and his directly held position after this award is 225,725 shares. No transactions were reported under a Rule 10b5-1 trading plan.
HENNESSY ADVISORS INC (HNNA) director Brian A. Hennessy reported an award of 5,600 shares of common stock in the form of underlying stock units held indirectly by a trust. These units will vest 25% per year beginning September 18, 2027. After this grant, he reports 234,664.5 shares held indirectly by trust, 22,650.629 shares held directly, and 22,650.629 shares held indirectly through his spouse’s IRA, with each of the latter positions including 974.9340 shares acquired via automatic dividend reinvestments. No Rule 10b5-1 trading plan is indicated.
HENNESSY ADVISORS INC (symbol: HNNA) is the issuer of record for a Form 4 filing submitted to the SEC. Pomilia Susan Weber reported acquisition or exercise transactions in this Form 4 filing.
HENNESSY ADVISORS INC (HNNA) reported that director Susan Weber Pomilia received an equity grant covering 5,600 shares of Common Stock on September 18, 2026 as a grant or award at a stated price of $0.00 per share. According to a footnote, these represent underlying stock units that will vest 25% per year beginning on September 18, 2027.
After this award, Pomilia holds 55,487 shares of HNNA Common Stock directly, plus an additional 67,619 shares reported as indirectly owned through her spouse's IRA. No transactions were reported under a Rule 10b5-1 trading plan.
HENNESSY ADVISORS INC (HNNA) reports that director Thomas L. Seavey received a grant of 5,600 shares of common stock on September 18, 2026 as a grant, award, or other acquisition at a stated price of $0.00 per share. Following this award, he holds 61,629 shares of common stock directly, including 5,600 shares represented by underlying stock units that will vest 25% per year beginning on September 18, 2027.
HENNESSY ADVISORS INC (symbol: HNNA) is the issuer of record for a Form 4 filing submitted to the SEC. Knight ORiordan Lydia D reported acquisition or exercise transactions in this Form 4 filing.
HENNESSY ADVISORS INC (HNNA) reported that director Lydia D Knight ORiordan received a grant of 5,600 shares of common stock on September 18, 2026 as a compensation award. These shares are described as underlying stock units that will vest 25% per year beginning on September 18, 2027. After this award, she holds 26,900 shares of common stock directly, including the stock units subject to vesting. No Rule 10b5-1 trading plan is reported for this transaction.
HENNESSY ADVISORS INC (symbol: HNNA) is the issuer of record for a Form 4 filing submitted to the SEC. Newton Kiera reported acquisition or exercise transactions in this Form 4 filing.
HENNESSY ADVISORS INC (HNNA) director Kiera Newton received a grant of 5,600 shares of common stock on September 18, 2026 as a stock unit award with no cash price per share. After this award, Newton directly holds 21,102 shares, including these underlying stock units, which will vest 25% per year beginning on September 18, 2027.
HENNESSY ADVISORS INC (symbol: HNNA) is the issuer of record for a Form 4 filing submitted to the SEC. LIBARLE DANIEL G reported acquisition or exercise transactions in this Form 4 filing.
HENNESSY ADVISORS INC (HNNA) reports that Advisory Committee member Daniel G. Libarle received an award relating to 2,800 shares of common stock on September 18, 2026, held indirectly through a trust. These represent underlying stock units that will vest 25% per year beginning on September 18, 2027. Following this award, the trust is reported to hold a total of 66,610 shares associated with Mr. Libarle. No transactions are reported under a Rule 10b5-1 trading plan.
HENNESSY ADVISORS INC (HNNA) director Kiera Newton reported two open-market or private sales of common stock. On September 16, 2026, she sold 199 shares at $10.35 per share, and on September 14, 2026, she sold 593 shares at $10.335 per share, all held directly. No Rule 10b5-1 trading plan is reported.
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%.