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): October 29, 2021
HENNESSY ADVISORS, INC.
(Exact name of registrant as specified in its charter)
California | 001-36423 | 68-0176227 |
(State or other jurisdiction | (Commission | (IRS Employer |
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)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading symbol | Name of each exchange on which registered |
Common stock, no par value | HNNA | The Nasdaq Stock Market LLC |
4.875% Notes due 2026 | HNNAZ | The Nasdaq Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company | ☐ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 7.01.Regulation FD Disclosure
On October 29, 2021, Hennessy Advisors, Inc. issued a press release announcing that it had declared a cash dividend of $0.1375 per share on its common stock. The cash dividend is payable on November 23, 2021, to shareholders of record at the close of business on November 11, 2021. 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
The exhibit listed in the exhibit index below is furnished under Item 7.01 of this Current Report on Form 8-K.
EXHIBIT INDEX
Exhibit | Description |
99.1 | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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.
HENNESSY ADVISORS, INC.
October 29, 2021 |
| By: | /s/ Teresa M. Nilsen |
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| Teresa M. Nilsen |
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| President |
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