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 of its annual shareholder meeting held on February 5, 2026. Shareholders elected nine directors, including Neil J. Hennessy and Teresa M. Nilsen, with each nominee receiving over 4.2 million votes in favor and substantial broker non-votes.
Investors approved, on a non-binding basis, the compensation of the company’s named executive officers, with 4,122,373 votes for and 214,703 against. Shareholders also expressed a preference for holding the advisory vote on executive pay every three years.
In addition, shareholders ratified the selection of CBIZ CPAs P.C. as the independent registered public accounting firm for fiscal year 2026, with 5,916,547 votes for and no broker non-votes, confirming support for the company’s auditor choice.
Hennessy Advisors reported weaker results for the quarter ended December 31, 2025. Total revenue fell to $8.3 million from $9.7 million, mainly because average assets under management declined 13.5% to $4.17 billion, reflecting higher redemptions and no net inflows.
Net income dropped to $1.93 million from $2.83 million, a 31.9% decrease, and diluted EPS was $0.24 versus $0.36. Ending assets under management were $4.1 billion, down 14.3% year over year, while cash and cash equivalents were $72.0 million. The company expensed $0.3 million of previously capitalized costs after terminating an ETF acquisition agreement and reclassified $39.9 million of 4.875% notes due 2026 to current liabilities. Hennessy Advisors continued its quarterly dividend at $0.1375 per share.
Hennessy Advisors, Inc. reported its financial results for the fiscal quarter ended December 31, 2025, through a press release furnished with this report. The company also declared a cash dividend of $0.15 per share on its common stock.
The dividend is payable on March 4, 2026 to shareholders of record at the close of business on February 18, 2026. Both the earnings information and dividend details are contained in the same press release attached as Exhibit 99.1.
Hennessy Advisors, Inc. (HNNA) has a new significant passive shareholder. Seaport Global Asset Management LLC and Stephen C. Smith jointly report beneficial ownership of 409,015 shares of Hennessy Advisors common stock as of December 31, 2025.
This holding represents 5.2% of the common stock, based on 7,891,917 shares outstanding as of December 8, 2025, as cited from the company’s proxy statement. The shares are held for investment by Seaport’s advisory clients and trusts it manages, and the filers certify they are not seeking to change or influence control of Hennessy Advisors.
HENNESSY ADVISORS INC filed a Form 13F disclosing institutional holdings with a reported total value of $2,821,809,104 across 283 positions. The report is signed by Teresa M. Nilsen, President and Chief Operating Officer, on 01-27-2026.
Hennessy Advisors, Inc. reported an insider stock transaction by its SVP and CFO involving 2,000 shares of common stock on 12/10/2025. The transaction was recorded with code "G" at a stated price of $0 per share.
After this activity, the officer directly beneficially owned 70,688.93 shares of Hennessy Advisors common stock. No transactions in derivative securities were listed.
Hennessy Advisors, Inc. announced a cash dividend of $0.1375 per share on its common stock. The dividend is payable on November 26, 2025 to shareholders of record at the close of business on November 12, 2025. The company furnished a press release with these details as an exhibit.
Hennessy Advisors Inc. filed a Form 13F reporting its institutional holdings, listing 281 positions with a total market value of $2,896,731,940. The filing is signed by Teresa M. Nilsen, President and Chief Operating Officer, dated 10-20-2025.
The report certifies that all required items and the information table are included and that this is a 13F HOLDINGS REPORT (all holdings reported). The form identifies the reporting manager's address as 7250 Redwood Blvd., Suite 200, Novato, CA.
Kiera M. Newton, a director of HENNESSY ADVISORS INC (HNNA), reported a sale of 390 shares of the company's common stock on 09/29/2025 at a price of $10.73 per share. Following this transaction she beneficially owns 16,865 shares in a direct ownership form. The Form 4 was executed by an attorney-in-fact and signed on 09/29/2025.
Hennessy Advisors Inc. (HNNA) Form 4: Director Kiera M. Newton reported a sale on 09/23/2025 of 3 shares of the issuer's common stock at a price of $11 per share. After the transaction, the reporting person beneficially owned 17,255 shares, held directly. The form was signed on behalf of Ms. Newton by an attorney-in-fact on 09/25/2025. No derivative transactions or other changes are reported.