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) April 28, 2014

 

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 7.01. Regulation FD Disclosure

 

On April 28, 2014, Hennessy Advisors, Inc. (“Hennessy Advisors”) issued a press release announcing that it has been approved to list its shares on The NASDAQ Capital Market, and that trading of the company’s stock on NASDAQ will begin at the opening of the market on April 28, 2014 under the stock symbol HNNA. 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 April 28, 2014 by Hennessy Advisors announcing that it has been approved to list its shares on The Nasdaq Capital Market.

 

 
 

 

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.
   
April 28, 2014 By:  /s/ Neil J. Hennessy
    Neil J. Hennessy
President and CEO

 

 
 

 

HENNESSY ADVISORS, INC.

 

Exhibit Index to Current Report on Form 8-K dated April 28, 2014

 

Exhibit Description
   
99.1 Press release issued April 28, 2014 by Hennessy Advisors announcing that it has been approved to list its shares on The NASDAQ Capital Market.