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): August 2, 2017

 

 

 

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))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

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 2.02.Results of Operations and Financial Condition

 

On August 2, 2017, Hennessy Advisors, Inc. issued a press release announcing its financial results for the fiscal quarter ended June 30, 2017. 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 7.01.Regulation FD Disclosure

 

On August 2, 2017, Hennessy Advisors, Inc. issued a press release announcing that it had declared a cash dividend of $0.075 per share on its common stock, payable September 11, 2017, to shareholders of record at the close of business on August 17, 2017. 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 August 2, 2017, by Hennessy Advisors, Inc. announcing financial results for the fiscal quarter ended June 30, 2017, and declaration of a cash dividend.

 

 

2 

 

  

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.
   
August 2, 2017 By:  /s/ Neil J. Hennessy
    Neil J. Hennessy
President and CEO

  

3 

 

 

HENNESSY ADVISORS, INC.

 

Exhibit Index to Current Report on Form 8-K dated August 2, 2017

 

Exhibit Description
99.1 Press release issued August 2, 2017, by Hennessy Advisors, Inc. announcing financial results for the fiscal quarter ended June 30, 2017, and declaration of a cash dividend.