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): December 1, 2016

 

 

 

HENNESSY ADVISORS, INC.

(Exact name of registrant as specified in its charter)

 

 

  

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))

  

 

 

 

 

 

Item 2.02. Results of Operations and Financial Condition

  

On December 1, 2016, Hennessy Advisors, Inc. issued a press release announcing its financial results for the fiscal year ended September 30, 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 December 1, 2016, by Hennessy Advisors, Inc. announcing financial results for the fiscal year ended September 30, 2016.

  

 

 

 

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.
     
     
     
December 1, 2016 By: /s/ Neil J. Hennessy
    Neil J. Hennessy
    President and CEO

  

 

 

 

HENNESSY ADVISORS, INC.

 

Exhibit Index to Current Report on Form 8-K dated December 1, 2016

 

Exhibit Description
   
99.1 Press release issued December 1, 2016, by Hennessy Advisors, Inc. announcing financial results for the fiscal year ended September 30, 2016.